We are currently partnered with a leading hedge fund looking to add to a Trade Surveillance Compliance Officer to their growing Team.
The Compliance Officer will focus on trading surveillance, particularly to detect market manipulation and insider trading, with an emphasis on over-the-counter products such as Foreign Exchange, Precious Metals, Swaps, and Asset-backed securities.
Trade Surveillance - OTC Key Responsibilities:
- Conduct trading surveillance to identify potential market manipulation and insider trading.
- Monitor daily surveillance reports and analyze trade alerts.
- Review and escalate findings from exception reports.
- Analyze trends and assist with inquiries, exams, and electronic communication reviews.
- Support special compliance projects and maintain organized compliance records.
Trade Surveillance - OTC Qualifications:
- Bachelor's degree in Finance, Economics, or related field preferred.
- Minimum of 3 years of relevant experience, preferably in surveillance roles at regulatory authorities, banks, brokers, or buy-side firms.
- Experience with over-the-counter products and familiarity with FX, Precious Metals, Swaps, and Asset-backed securities is advantageous.
- Knowledge of US financial markets and previous use of third-party surveillance platforms is preferred.
