This job ad has been posted over 40 days ago...
Senior Surveillance Analyst - Options Product, Vice President
at The Compliance Search Group in New York
Investment bank seeks a Senior Options Surveillance Analyst to work directly with the Compliance staff, regulatory risk, institutional Options Sales and Trading personnel, Global Arbitrage, Trading personnel, Trading Operations, Trading Technology and Legal Department.
The Compliance professional will be involved with the following:
1) Evaluate and assess current surveillances and exception reports for Institutional Options Sales and Trading activities.
2) Revise, build, and review all surveillances involving Institutional Options Sales and Trading Activities.
3) Ensure regulatory filings are submitted to CBOE pursuant to Rule 24.4 and FINRA Rule 2360 on a timely and accurate basis. Keep abreast of regulatory and market structure changes that may affect the scope of existing surveillances or necessitate the development of new surveillances.
4) Keep abreast of new internal trading systems and client product offerings ensuring that the firm formulates and develops effective surveillance tools to monitor trading activities.
5) Work with trading technology and business supervisors to test surveillance reports to ensure continuous redundancy and integrity.
Job Requirements:
• BA, MA or MS or equivalent preferred with a detailed understanding of Equity Capital Markets
• Proficient in Microsoft Word, Microsoft Office and PowerPoint
• Strong written and oral communication skills
• Minimum 5 years experience
To apply please submit your resume to Jack Kelly - JKelly@Compliancesearch.com
The Compliance professional will be involved with the following:
1) Evaluate and assess current surveillances and exception reports for Institutional Options Sales and Trading activities.
2) Revise, build, and review all surveillances involving Institutional Options Sales and Trading Activities.
3) Ensure regulatory filings are submitted to CBOE pursuant to Rule 24.4 and FINRA Rule 2360 on a timely and accurate basis. Keep abreast of regulatory and market structure changes that may affect the scope of existing surveillances or necessitate the development of new surveillances.
4) Keep abreast of new internal trading systems and client product offerings ensuring that the firm formulates and develops effective surveillance tools to monitor trading activities.
5) Work with trading technology and business supervisors to test surveillance reports to ensure continuous redundancy and integrity.
Job Requirements:
• BA, MA or MS or equivalent preferred with a detailed understanding of Equity Capital Markets
• Proficient in Microsoft Word, Microsoft Office and PowerPoint
• Strong written and oral communication skills
• Minimum 5 years experience
To apply please submit your resume to Jack Kelly - JKelly@Compliancesearch.com
Published at 23-03-2010
Viewed: 18 times
Viewed: 18 times