Trading & Surveillance Compliance Specialist
About The Position
The Trading and Surveillance Compliance Specialist supports the front office sales and trading desks for the fixed income, equity and futures products traded by DCMA. In this role, you will review trading activity real-time and T+1 to monitor activity related to market manipulation and to ensure accurate and timely Trade Reporting; including but not limited to Compliance Engine (TRACE) for Fixed Income products (Treasuries, Mortgage Back Securities, Government Sponsored Enterprise, Corporate bonds, etc.). This role will also collaborate with both the equity and fixed income front office sales & trading, middle office operations and IT on a timely basis to inquire about matters related to daily responsibilities.
Requirements
- Bachelor’s Degree – Finance/Business related
- FINRA Series 7 License for General Representatives
- A minimum of 5 years Compliance/Surveillance experience
- Proficient in the following: Bloomberg, NASDAQ SMARTs Surveillance, TRACE, Microsoft Excel/PowerPoint, Visualization creation.
- Strong communication skills, both written and verbal, to interact effectively with internal teams, clients, and partners.
Responsibilities
- Improve on existing trade surveillance operations
- Report surveillance activities on a weekly and quarterly basis for stakeholders
- Monthly FINRA report card review and research
- Best Execution reviews
- TRACE reporting review
- Regulatory Reporting (CAT/CAIS, Bluesheets)
- Handle daily trade reporting discrepancies
- Stay abreast of any rule changes while effectively communicating these changes to front/middle office personnel.
- Oversight of Treasury Auctions
- Compliance Inspections/Testing
- Primary Dealer Compliance Program
- CME Compliance Program
- Annual Risk Assessment
- Supervisory review of front office sales and trading desks
- Assist in policy and procedure review and update
- Assist in completing regulatory inquiries and or examinations
Benefits
- Competitive Benefits Package (Medical, Dental and Vision)
- Ancillary Insurance (Basic Life Insurance, AD&D Insurance, and Short & Long-term Disability)
- Flexible Spending and Health Savings Accounts (FSA and HSA)
- Employee Assistance Program (EAP)
- Comprehensive health and wellness benefits
- Parental Leave
- Family building benefits
- 401(k) with company match
- Paid Time Off and holidays
- Professional development, educational assistance and training programs
- Community Engagement Programs
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Number of Employees
101-250 employees
