As an Employee Trade Surveillance Analyst, you will be responsible for reviewing personal trading activity for and supporting the Control Room.  This includes reviewing various reports and alerts to identify potential trading violations, taking corrective action and educating employees regarding applicable requirements. The Compliance Control Room is responsible for maintaining the Firm’s restricted trading lists and assigning appropriate employee trading designations.  

Responsibilities Include:

• Reviews daily and monthly transaction alerts, employee trading activity, firm trading and market activity and news   
• Conducts investigations, documents findings and escalates potentially suspicious activity
• Maintains Restricted Lists and communicates with the Lines of Business regarding changes thereto
• Assigns employee trading designations to new employees, transferees, and provides guidance regarding requirements  
• Conducts User Acceptance Testing (UAT) for systems enhancements and documents work product

Qualifications:

• BA/BS Degree
• 2-5 years of compliance experience, preferably in trade surveillance