A large investment management firm located in NYC looking to bring on a new "Compliance - Fixed Income Trade Surveillance Associate" to join their team. This role is full time in office.
- You will be a key player in providing surveillance coverage for fixed income trade activity
- Your role will involve reviewing surveillance alerts and escalating any activity that may appear to be potential market manipulation or other impermissible trading behavior
- You will work closely with Line of Business management and LOB Compliance stakeholders, as well as global/regional Surveillance teams, to promote our global program and its responsibilities
- Review surveillance output and analyze trading and market activity, with a focus on firmwide trading in fixed income products to identify potential market manipulation or other impermissible trading behavior
- Ensure compliance with various regulations including Investment Company Act of 1940
- Conducting timely and thorough trade surveillance reviews and disclosures across Equities, Options, and Fixed Income
- Conduct reviews and analysis to support regulatory exams and inquiries and other requests, and as needed work with the Legal department on responses
- Series 7 is required for the role
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