Equities Trade Surveillance Analyst - Corporate - Equities Compliance
Jefferies, the world's only independent full-service global investment banking firm focused on serving clients for over 50 years, is a leader in providing insight, expertise and execution to investors, companies and governments. Our firm provides a full range of investment banking, sales, trading, research and strategy across the spectrum of equities, fixed income, and foreign exchange, as well as wealth management, in the Americas, Europe and Asia. Jefferies Group LLC is a wholly-owned subsidiary of Jefferies Financial Group Inc. (NYSE: JEF), a diversified financial services company.
This position is in the Markets Compliance Group and will be responsible for c onduct ing surveillance of E quit ies transactions :
Seeking a highly-motivated individual who is willing to actively participate as part of the Jefferies Compliance team. The candidate must:
- Review for suspicious activity and potential violations
- Ensure surveillance issues are identified, fully investigated and promptly escalated in a timely manner
- Participate in and contribute to ongoing projects to develop and enhance the current suite of surveillance models, reports and tools
- Take the lead with project work which may include implementing new systems and assisting with system testing
- Ad hoc projects
Qualifications Required Background/ Desired Experience & Skills:
- Think analytically and use sound judgment
- Work effectively in a team environment and foster effective relationships
- Willing to be flexible to assume different responsibilities as needed
- Be able to react in a fast-paced trading floor environment, managing a wide variety of requests
- Knowledge of the Equities markets. Specifically, the candidate should have a working knowledge of Equity Trading with respect to among other things, how equities are traded both low and high touch.
- Bachelor's degre e
- 1 -5 years of trade surveillance experience highly desirable
- Working knowledge of various Bloomberg functions a plus.
- Knowledge of certain FINRA & SEC rules (e.g., Reg NMS, Reg Sho, FINRA 5320 & 15c3-5)
- Fluent in Excel. Must know how to utilize VLOOKUP and Pivot Table functionalities.