Fixed Income Trade & Business Surveillance

  • Negotiable
  • Manhattan, NY, USA
  • Permanent, Full time
  • Michael Page International - US
  • 20 Oct 17 2017-10-20

Industry Leading Electronic Broker-Dealer & Electronic Trading Platform/Firm is seeking a driven individual to join a Rapidly Expanding Fixed Income Trade & Business Surveillance Team

Industry Leading Electronic Broker-Dealer & Electronic Trading Platform/Firm


Overview of Role

Position will include responsibility for monitoring daily surveillance reports and alerts related to institutional transactions in fixed income products, creation of new surveillance reports as needed, and handling of special projects and reviews. Other assignments will include assisting with regulatory inquiries and exams and review of electronic communications. Position will report to the Head of Business Surveillance.

Principal Responsibilities

  • Primarily responsible for surveillance of transactions and related activity
  • Conduct T+1 surveillance using exception reports and other tools
  • Review trade alerts and escalate any findings as needed
  • Analyze exception report data for trending purposes
  • Prepare weekly reports with findings and present to Business Surveillance and Compliance teams in weekly meetings
  • Review of electronic communications

Professional/Technical Skills/Experience

  • Specific knowledge of fixed income, over-the-counter markets is required
  • Experience at either in-house Compliance Department or similar regulatory experience (e.g. FINRA), or experience within a Business Surveillance role - minimum 5 years.
  • Proficiency in Excel (macros, working with large data sets, graphing)


Additional Requirements

  • Series 7 is preferred but not necessary
  • BA or BS Degree from a College or University is required
  • Must be able to manage multiple tasks simultaneously
  • Must be team player, able to work well with others
  • Candidate must have strong communication and analytical skills and a desire to learn
  • Candidate should possess self-motivation

Job Offer

Comprehensive Compensation Package;
  • Competitive Base Salary
  • Discretionary Annual Bonus
  • Comprehensive Benefits Package