Job Detail

Trade Surveillance Business Analyst

Trade Surveillance Business Analyst
Primary Location
New York
Bachelor's Degree
Rate Type
Per year
Job Description
A financial services firm is building out its surveillance and compliance team. The firm is looking for options and regulatory compliance professionals. #LI-CF1
Job Requirements
  • Maintain and monitor employee brokerage accounts. Timely follow-up with registering users, account disclosures and brokerage firms, to establish or remove accounts from electronic data feed.
  • Watch list/Restricted list maintenance.
  • Prepare and analyze trading data for Key Risk reporting.
  • Support affiliates to manage issues involving shared employees.
  • General knowledge of insider trading laws.
  • Experience with handling compliance issues in a U.S. financial institution, including related to insider trading monitoring, policy and procedure control, information wall crossings.
  • Sophisticated in ability to use technology in a compliance setting.
  • Be effective back-up of Control Room manager.
  • Bachelor's degree
  • 5-7 years experience as a business analyst
  • Trade Surveillance knowledge
  • Excellent written and verbal communication skills
  • Attention to detail
  • Must be team player
  • 2-3 Professional references

Prospect 33 is an equal opportunity employer.

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