Trade Surveillance Officer

Trade Surveillance Officer

Location: New York, NY or Chicago, IL (hybrid, 3 days onsite)

Duration: 3 months +

Responsibilities:

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 the Trade Surveillance program.

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