Trade Surveillance Officer
- Trade Surveillance alerts review:
- Review of trade surveillance alerts and escalate issues, where appropriate, to relevant stakeholders for investigation and resolution;
- Participate in the development, testing and implementation of new and existing Trade Surveillance controls. ;
- Perform user acceptance and reasonability testing of Trade Surveillance controls;
- Contribute to the preparation management metrics and reporting;
- Projects participation :
- Participate in regional and global compliance initiatives and investigations;
- Review and analyze new and/or amended industry rules and regulations;
- Assess new business initiatives and their potential impact to theTrade Surveillance program.
Skills and Qualifications:
Must Have:
- 3-5 years of experience of Futures Trade Surveillance
- General knowledge of applicable regulations relating to Banking, Broker-Dealer and Futures Commission Merchant activity
- Strong attention to detail
- Ability to work independently
- Ability to prioritize and work in a dynamic, deadline-focused environment
- Exemplary personal ethics and desire to always adhere to rules and regulations
- Proficiency in Excel, Word and PowerPoint
- Excellent research and analytical skills
- Excellent written and verbal communication skills
Recommended Jobs
Expressive Therapist (Recreation, Art, Music, OT) - PRN
Responsibilities Expressive Therapist (Recreation, Art, Music, OT) Opportunity Emerald Coast Behavioral Hospital provides inpatient treatment services to adolescents and adults at our 86-b…
Shoveler
Eligible for $3/HR ATTENANCE BONUS Hand Shovelers are responsible for keeping sidewalks free of snow and applying ice melt as needed. Competitive pay with the possibility of an additional $3.00 per …
Financial Analyst
The Financial Analyst at Gucci in New York is a pivotal role within the Finance team, responsible for managing the allocation, analysis, and projection of retail operating expenses. This includes exec…
Martial Arts Instructor
Job Description Job Description Benefits: Flexible schedule Opportunity for advancement Training & development Benefits/Perks Competitive Compensation Great Work Environment …
Direct Care Professional
Job Description Job Description Salary: $18.00+ Battenkill Community Services (BCS) based Greenwich, NY is seeking energetic, outgoing people who thrive on making a positive difference in the l…
Senior Manager, Business Intelligence & Automation
LVMH seeks a Senior Manager of Business Intelligence & Automation for its New York office. This role involves leading technology solutions to enhance operational efficiency across Finance, Logistics, …
Medical Assistant - Harmony Health Care Long Island - Freeport, New York, United States
OUR VISION To continue as an eminent healthcare provider on Long Island, dedicating ourselves to providing exceptional health care for all our patients and to transform both the lives of the indiv…
Engineering & Quality - Software Engineer, Associate Director
Fitch Technology is currently seeking an Engineer based out of our New York office. About Fitch Group: As a leading, global financial information services provider, Fitch Group delivers vital cr…
Cook
Cassia Networks, a pioneer in Bluetooth IoT solutions for healthcare applications, is seeking an experienced Cook to join our dedicated kitchen staff within our on-site healthcare facilities. This rol…
Product Expert - Health Data
Veeva Systems is a mission-driven organization and pioneer in industry cloud, helping life sciences companies bring therapies to patients faster. As one of the fastest-growing SaaS companies in histo…