View all jobs

Analyst (securities / trading compliance - suspicious activity i

New York, NY
TITLE: Analyst (securities compliance / suspicious activity / unusual trading)
Type: Contract
Duration: 3-6 months
Location: NYC
·         To review, investigate, and analyze options market activity to detect unusual trading situations involving market manipulation or other violations of stock exchange rules and/or federal securities laws.
·         To review daily and pattern-based exception reports for violative activity, and to manage a caseload of several concurrent alerts and investigations.
·         To use a variety of surveillance applications to collect needed trading information.
·         To interact with members and member organizations, by phone, in-person, or via written requests, to collect needed information.
·         To coordinate surveillance and investigative findings with other stock exchange regulation groups, other SROs, and the SEC where appropriate.
·         To prepare closing alert and investigation memoranda with appropriate analysis and recommendations for regulatory action.
·         To work on special projects as needed.
·         Must have 2-5 years experience in the securities industry, preferably in the areas of options, security analysis, compliance, operations and/or securities law.
·         Experience with investigatory methods and practices and strong computer skills preferred.
·         Strong written and verbal communication skills are essential.
·         Strong analytical background.
·         Ability to manage numerous short and long-term projects and tasks simultaneously.
·         Ability to work beyond regular business hours as needed.
·         Bachelor's Degree or equivalent work experience.
If you are qualified and interested in pursuing the opportunity further, Please respond back and include the following:
·         Full MS WORD Resume
·         Current and required compensation
·         Current contact information
·         Availability to start a new contract position in NYC
Upon receipt of your resume, one of our managers will contact you to discuss.

Thank You,

Jason Denmark
Managing Director

Email: jdenmark@intermediagroup.com
Corporate Web Site: www.intermediagroup.com

Share This Job

Powered by