Equity Surveillance Analyst Equity Surveillance Analyst …

Park Hudson International
in New York, NY, United States
Permanent, Full time
Last application, 16 Feb 20
$140k depending on experience
Park Hudson International
in New York, NY, United States
Permanent, Full time
Last application, 16 Feb 20
$140k depending on experience
Growing self-clearing broker dealer is looking to grow it's compliance team and is looking for an experienced surveillance professional.
  • Must have broker dealer, clearing firm space experience. They are a 100% equity shop so we Equity market surveillance/risk experience. 
  • Best Execution, Market Access, Market Manipulation, Trading Ahead, Front Running knowledge
  • Help business implementing and documenting various supervisory/control mechanisms in accordance to FINRA Supervisory Rules, etc. Certification
  • Set credit limits for all business initiatives. Ensured firm's adherence to daily credit/risk limits (VAR Positions).
  • Implementing and monitoring the operations and internal controls of the AML program and FinCEN's Designated Contact.

 

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