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Trade Surveillance Consultant - Hybrid

Company: Infinity Consulting Solutions
Location: New York
Posted on: September 25, 2022

Job Description:

Equities Trade Surveillance Consultant - Hybrid Scope and Purpose --- Provide front office advisory services on transactions and back office on operational processes --- Monitor the firm's trading platforms for both live orders (alerts, orders pending action, rejects, system issues, etc.) and post trade compliance/analysis --- Conduct surveillance reviews and disposition of transaction alerts --- Enhance existing controls for detecting potential or actual market-abuse --- Assist in trade reconstruction in response to regulatory inquiries, audits and Ad hoc requests --- Write detailed escalation memo's and file timely SAR's, including narratives --- Assist in the coordination and facilitation of regulatory examinations --- Stay abreast of new rules and regulatory initiatives (Rule 606, CAT) --- Assist in the development and enhancement of tools and systems used to conduct trade surveillance and trend analysis Required qualifications, skills and knowledge --- In-depth understanding of the changing surveillance and trade monitoring environment, including areas of focus for US Regulators --- Knowledge and understanding of the Bank Secrecy Act and the Patriot Act --- 5-7 years' experience in a broker-dealer or bank compliance capacity with specific knowledge of trade monitoring and surveillance processes in Equities products --- Comprehensive understanding of securities operations, clearance and settlement a plus --- FinCEN and BSA e-filing process/procedures for Suspicious Activity Reports --- Working knowledge of SEC Rule10b-18, Rule 605 & 606, Reg SHO, Reg NMS, Client Regulatory Notice 19-18, Client Notice to Members 21-03 and Client's Exchange Act Rule 15c3-5 --- Must have excellent written and verbal skills, as well as advance proficiency in Microsoft Excel, working knowledge of Bloomberg Terminal, Equity Order Management and Database Systems --- Consolidated Audit Trail ( "CAT ) requirements and FIX messaging will be strongly factored into consideration

Keywords: Infinity Consulting Solutions, New York , Trade Surveillance Consultant - Hybrid, Professions , New York, New York

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