Job Description
How You'll Help Take Us There
- Perform daily surveillance of real time trading alerts and perform post-trade analysis for both fixed income and equity securities.
- Carry out market surveillance with the aim of finding and reporting on attempts by clients to engage in insider dealing or market manipulation across a range of market abuse typologies.
- Create MI reporting for metrics pertaining to Market Surveillance and support presentation to Senior Firm Leadership
- Develop and serve as a subject matter expert in the performance of Market Surveillance
- Support response to regulatory inquiries, examinations and investigations and Internal Audit
- Continually strengthen regulatory knowledge and experience with SEC, FINRA and MSRB regulatory requirements for financial institutions and an understanding of their impact on Market Surveillance.
- Leverage analytical skills to enhance research and investigations, and use both quantitative and qualitative analysis when making decisions to escalate alerts and potential patterns of issues
- Collaborate across compliance, risk, technology, R&D, trading, and sales to contribute to enhancement initiatives for the Surveillance Program
What We’re Looking for
- BA/BS in a related technical field or equivalent practical experience
- 2+ years of experience in market or trade surveillance
- Knowledge of Fixed Income and Equities products and trading regulations
- Strong data analysis and writing skills to contribute to investigations and other compliance matters, internally and externally
- Strong interpersonal skills, with an emphasis on teamwork, initiative, and integrity
- Comfort working in a trading environment and willingness to innovate, challenge the status quo and adaptability to support ad hoc tasks and projects
- Familiarity with commonly used trade surveillance & BI tool(s)
- Familiarity with and willingness to contribute to AML regulatory requirements and initiatives
- Series 7 required, other professional compliance training or accreditation a plus (e.g. CAMS)
What You Can Expect from Us
- Free Food: We provide free lunch for employees when they are working in the office. Plus, our offices are stocked with snacks.
- Paid Time Off: Competitive PTO package including vacation and personal days, sick leave and charity days
- Generous Parental Leave: Up to 20 weeks fully paid leave
- 401(k): Dollar-for-dollar employer match up to $17,500
- Employee Stock Purchase Plan: Employees can purchase MarketAxess common stock at a discount
- Wellness Stipend: We provide employees with up to $1K annually towards gym memberships, home office equipment and more
- Onsite Healthcare: We offer convenient access to world-class care through Mount Sinai at our Hudson Yards location
- Tuition Assistance and Professional Development: Benefit from live and on-demand learning, role-specific training, employee-led Lunch and Learns and guest speakers
- Core benefits: Highly competitive medical, dental, and vision programs
Salary
Competitive
Monthly based
Location
, Decatur County, Kansas, United States, Kansas, United States
Job Overview
Location
, Decatur County, Kansas, United States, Kansas, United States
