The Analyst will support the Surveillance Monitoring and Testing ("SMT") Team in performing certain aspects of the SMT Compliance Program. This role is primarily focused on conducting surveillance, which will involve Performing reviews of reports related to trading, transaction reporting and communications to identify unusual activity or potential violations of rules or firm.
- Minimum of 2-3 years of experience in the financial services industry, preferably in the Compliance/Risk/Internal audit domains
- Good understanding of Financial products in Equities or Fixed Income space
- Bachelor's degree from an accredited college/university
- Perform thorough investigations and escalating possible violations of rules, regulations and procedures to the attention of management
- Conduct investigations of unusual activity and potential rule and firm policy violations by reviewing trade reports and speaking with the appropriate supervisory, sales and trading
Sthree US is acting as an Employment Business in relation to this vacancy.