The company needs to ensure compliance with various financial regulations and laws, and is seeking a Trade Surveillance Analyst to help identify and prevent suspicious activity.
Requirements
- Strong product knowledge of equity or exchange-traded derivative markets
- High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems
- ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications are a plus
Responsibilities
- Conducting account activity reviews, including trading, deposit, withdrawal, and public domain activity, to determine if the activity aligns with IBKR policy
- Reviewing trading data for suspicious activity or patterns of unusual trading
- Preparing regulatory filings
- Analyzing and summarizing data and trends
- Contributing to streamlining current processes and identifying areas for improvement
Other
- 1-3 years of regulatory compliance experience working for an exchange, a regulatory organization, a broker-dealer (BD), a futures commission merchant (FCM) or a similar organization
- Excellent oral and written communication skills
- Detail-oriented with outstanding organizational and project management skills
- Ability to work both independently as well as in a small team environment, and to multitask with minimal supervision
- Bachelor-level educational credentials, some background in finance, economics, data analytics, or similar areas
- Self-motivated and able to handle tasks with minimal supervision
- Superb analytical and problem-solving skills
- Excellent collaboration and communication (Verbal and written) skills
- Outstanding organizational and time management skills
