Susquehanna International Group, LLP

Trade Surveillance Analyst

Philadelphia Area
Requisition ID
2017-3246
Experience Level
Experienced
Job Categories
Legal & Compliance

Overview

SIG has a job opening for a Trade Surveillance Analyst to join our Compliance Team in support of our Equity, Options, Futures and Fixed Income Trading desks. This team sits directly on our trading floor and interacts with traders daily as they manage compliance reporting, trade monitoring and surveillance activities spanning multiple assets and underlying products traded daily on each desk they are actively supporting.

 

If you join us, you will:

  • Support trading activity from the point trades are executed through post trade surveillance analysis to verify that the firm is meeting all of its regulatory requirements
  • Gain broad exposure to trade reporting and compliance responsibilities across the various trading desks including OATS and ACT reporting, limit order display and protection, best execution, and front running reconciliations
  • Identify, track and monitor regulatory developments and analyze the business impact to enhance or create new policies and procedures through collaboration with team members and our technology team
  • Assist in responses to regulatory agency inquiries, investigations and examinations
  • Act as day-to-day compliance contact for equity trading desks and provide advice to traders about firm policies and procedures and regulatory rules
  • Conduct routine surveillance of trading activity for adherence to FINRA and company policy compliance
  • Investigate questionable transactions and sales activity and recommend corrective action.

What we’re looking for

  • Bachelors degree required; specialization in finance or a related discipline preferred
  • Minimum of 2 years of experience in finance or a related field required; previous exposure to or experience with equities, fixed income or futures trade support role a plus
  • Possession of Series 7 or the ability to obtain license within six-twelve months of hire, required 
  • Demonstrated proficiency with MS Office including Excel and Word

 

We don’t post salary ranges externally so any salary estimate you see listed online was not provided by SIG and may not be accurate.

 

SIG is not accepting unsolicited resumes from search firms. All resumes submitted by search firms to any employee at SIG via-email, the Internet or directly without a valid written search agreement will be deemed the sole property of SIG, and no fee will be paid in the event the candidate is hired by SIG.