... managers to resolve instances of apparent breaches from firm and regulatory rules • Proactive and timely escalation of issues with adequate supporting information to the Monitoring Manager • ...
60 Deerfield Trading Analyst Jobs Hiring Near You
... managers to resolve instances of apparent breaches from firm and regulatory rules • Proactive and timely escalation of issues with adequate supporting information to the Monitoring Manager • ...
Quantitative Trading Analyst
Boston, MA · On-site
About Us Wellington Management offers comprehensive investment management capabilities that span ... THE TEAM The Trading Research & Analytics (TRA) team is the quantitative research and analytics ...
Quantitative Trading Analyst
Boston, MA · On-site
About Us Wellington Management offers comprehensive investment management capabilities that span ... THE TEAM The Trading Research & Analytics (TRA) team is the quantitative research and analytics ...
Trading Analyst
Manhattan, NY · On-site
$85 - $125/hr
Manage service deployments to ensure the trading environment operates reliably and within defined ... Good quantitative and analytical skills. * Trading knowledge isn't strictly required for this role ...
Trading Analyst
Manhattan, NY · On-site
$85 - $125/hr
Manage service deployments to ensure the trading environment operates reliably and within defined ... Good quantitative and analytical skills. * Trading knowledge isn't strictly required for this role ...
Trading Analyst
Montreal, QC · On-site
... Analyst The position is as an EQD Flow Trade Support Analyst. The selected candidate will report to ... Manage real-time trade booking exceptions internally between the trading desk and sales force ...
Trading Analyst
Montreal, QC · On-site
... Analyst The position is as an EQD Flow Trade Support Analyst. The selected candidate will report to ... Manage real-time trade booking exceptions internally between the trading desk and sales force ...
Quantitative Trading Analyst
Boston, MA · On-site
$90 - $180/hr
We partner directly with traders, portfolio managers, broker‑dealers and clients to improve execution outcomes through quantitative research, data science and systematic trading analytics. Our work ...
Quantitative Trading Analyst
Boston, MA · On-site
$90 - $180/hr
We partner directly with traders, portfolio managers, broker‑dealers and clients to improve execution outcomes through quantitative research, data science and systematic trading analytics. Our work ...
Trading Analyst
Rochester, NY · On-site
$71.87 - $114.80/hr
TRADING ANALYST Responsible for trade settlement and reconciliation, new fixed income broker ... Minimum 2 years' experience with an investment management firm, hedge fund, or Broker Dealer.
Trading Analyst
Rochester, NY · On-site
$71.87 - $114.80/hr
TRADING ANALYST Responsible for trade settlement and reconciliation, new fixed income broker ... Minimum 2 years' experience with an investment management firm, hedge fund, or Broker Dealer.
2027 Trading Analyst
Greenwich, CT · On-site
$145K - $155K/yr
About AQR Capital Management AQR is a global investment firm built at the intersection of financial ... You'll analyze trading activity, study market structure and liquidity, investigate how news and ...
2027 Trading Analyst
Greenwich, CT · On-site
$145K - $155K/yr
About AQR Capital Management AQR is a global investment firm built at the intersection of financial ... You'll analyze trading activity, study market structure and liquidity, investigate how news and ...
Quantitative Trading Analyst
Boston, MA · On-site
$90 - $180/hr
About Us Wellington Management offers comprehensive investment management capabilities that span ... THE TEAM The Trading Research & Analytics (TRA) team is the quantitative research and analytics ...
Quantitative Trading Analyst
Boston, MA · On-site
$90 - $180/hr
About Us Wellington Management offers comprehensive investment management capabilities that span ... THE TEAM The Trading Research & Analytics (TRA) team is the quantitative research and analytics ...
Trading Analyst Intern
Chicago, IL · On-site
Candidates should be comfortable working in a trading environment, and possess excellent communication, analytical, computer, problem-solving, and time management skills. Successful Interns will have ...
Trading Analyst Intern
Chicago, IL · On-site
Candidates should be comfortable working in a trading environment, and possess excellent communication, analytical, computer, problem-solving, and time management skills. Successful Interns will have ...
Trading Analyst Intern
Chicago, IL · On-site
Candidates should be comfortable working in a trading environment, and possess excellent communication, analytical, computer, problem-solving, and time management skills. Successful Interns will have ...
Trading Analyst Intern
Chicago, IL · On-site
Candidates should be comfortable working in a trading environment, and possess excellent communication, analytical, computer, problem-solving, and time management skills. Successful Interns will have ...
Energy Trading Analyst
$90K - $100K/yr
Energy Trading Analyst - New England Location: New York, NY The Energy Trading Analyst is ... Help with risk management associated with physical deliveries and transmission across various ...
Energy Trading Analyst
$90K - $100K/yr
Energy Trading Analyst - New England Location: New York, NY The Energy Trading Analyst is ... Help with risk management associated with physical deliveries and transmission across various ...
Energy Trading Analyst
$90K - $100K/yr
Energy Trading Analyst - New England Location: New York, NY The Energy Trading Analyst is ... Help with risk management associated with physical deliveries and transmission across various ...
Energy Trading Analyst
$90K - $100K/yr
Energy Trading Analyst - New England Location: New York, NY The Energy Trading Analyst is ... Help with risk management associated with physical deliveries and transmission across various ...
Quantitative Trading Analyst
Chicago, IL · On-site
$100 - $150/hr
Maximize market making revenues through the management of settings and processes that affect our ... Conduct ad-hoc quantitative analyses within the domains of settings optimization, market ...
Quantitative Trading Analyst
Chicago, IL · On-site
$100 - $150/hr
Maximize market making revenues through the management of settings and processes that affect our ... Conduct ad-hoc quantitative analyses within the domains of settings optimization, market ...
Energy Trading Analyst
Manhattan, NY · On-site
$90K - $100K/yr
Energy Trading Analyst - New England Location: New York, NY The Energy Trading Analyst is ... Help with risk management associated with physical deliveries and transmission across various ...
Energy Trading Analyst
Manhattan, NY · On-site
$90K - $100K/yr
Energy Trading Analyst - New England Location: New York, NY The Energy Trading Analyst is ... Help with risk management associated with physical deliveries and transmission across various ...
Through our performance management program, you can earn additional annual incentives as you set ... JOB SUMMARY Provides trading operations support by analyzing market and regional data, maintaining ...
Through our performance management program, you can earn additional annual incentives as you set ... JOB SUMMARY Provides trading operations support by analyzing market and regional data, maintaining ...
Algorithmic Trading Analyst
Stamford, CT · On-site
Its cloud-based platform, Algo Management System (AMS), is the first end-to-end algorithmic trading ... Our mission is to become the global leader in execution analytics and algorithmic trading while ...
Algorithmic Trading Analyst
Stamford, CT · On-site
Its cloud-based platform, Algo Management System (AMS), is the first end-to-end algorithmic trading ... Our mission is to become the global leader in execution analytics and algorithmic trading while ...
$100 - $150/hr
Maximize market making revenues through the management of settings and processes that affect our ... Conduct ad-hoc quantitative analyses within the domains of settings optimization, market ...
$100 - $150/hr
Maximize market making revenues through the management of settings and processes that affect our ... Conduct ad-hoc quantitative analyses within the domains of settings optimization, market ...
Commercial Trading Analyst
Brentwood, TN · On-site
Through our performance management program, you can earn additional annual incentives as you set ... JOB SUMMARY Provides trading operations support by analyzing market and regional data, maintaining ...
Commercial Trading Analyst
Brentwood, TN · On-site
Through our performance management program, you can earn additional annual incentives as you set ... JOB SUMMARY Provides trading operations support by analyzing market and regional data, maintaining ...
Algorithmic Trading Analyst
Stamford, CT · On-site
Its cloud-based platform, Algo Management System (AMS), is the first end-to-end algorithmic trading ... Our mission is to become the global leader in execution analytics and algorithmic trading while ...
Quick apply
Algorithmic Trading Analyst
Stamford, CT · On-site
Its cloud-based platform, Algo Management System (AMS), is the first end-to-end algorithmic trading ... Our mission is to become the global leader in execution analytics and algorithmic trading while ...
2027 Trading Analyst
Greenwich, CT · On-site
$145K - $155K/yr
About AQR Capital Management AQR is a global investment firm built at the intersection of financial ... You'll analyze trading activity, study market structure and liquidity, investigate how news and ...
2027 Trading Analyst
Greenwich, CT · On-site
$145K - $155K/yr
About AQR Capital Management AQR is a global investment firm built at the intersection of financial ... You'll analyze trading activity, study market structure and liquidity, investigate how news and ...
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Job description
Description:
12 Month Contract
Voice communications surveillance is responsible for monitoring and reviewing the voice communications of authorized and registered employees who conduct trading and sales activity on behalf of the bank, such as brokers, traders and sales staff.
Key Responsibilities
• Detect, review and report potentially suspicious activities.
• Review Voice communications of bank employees for adherence to firm and regulatory rules and requirements.
• Use any available research tools to identify publicly available information concerning transactions and communications identified for further investigation.
• Conducting both routine and special inquiries as required or requested.
• Working with FOCS (Front Office Conduct and Surveillance) managers to resolve instances of apparent breaches from firm and regulatory rules
• Proactive and timely escalation of issues with adequate supporting information to the Monitoring Manager
• Provide day-to-day assistance and support to the local Surveillance teams
• Assisting in regulatory and internal investigations
• Ensure that relevant procedures, systems and controls are up to date and effective, and to identify / facilitate remedial action where necessary
• Assist in preparing management information and reporting regarding surveillance and monitoring activities
• Assist in the enhancement of existing processes and develop new processes for identifying instances of Market Abuse and breaches to Conduct of Business and Exchange rules etc.
• Ensure the use of workflow investigation tools
• Contribute to the set-up, implementation and operation of risk prevention tools
• Contribute to the implementation of Regulatory, Group and CIB standards against money laundering, fraud, corruption, terrorism, etc.
• Comply with all applicable legal, regulatory and internal Compliance requirements, including, but not limited to Compliance policies and procedures as issued from time to time.
Skills & Qualifications
Technical competencies and Experience
12 Month Contract
Voice communications surveillance is responsible for monitoring and reviewing the voice communications of authorized and registered employees who conduct trading and sales activity on behalf of the bank, such as brokers, traders and sales staff.
Key Responsibilities
• Detect, review and report potentially suspicious activities.
• Review Voice communications of bank employees for adherence to firm and regulatory rules and requirements.
• Use any available research tools to identify publicly available information concerning transactions and communications identified for further investigation.
• Conducting both routine and special inquiries as required or requested.
• Working with FOCS (Front Office Conduct and Surveillance) managers to resolve instances of apparent breaches from firm and regulatory rules
• Proactive and timely escalation of issues with adequate supporting information to the Monitoring Manager
• Provide day-to-day assistance and support to the local Surveillance teams
• Assisting in regulatory and internal investigations
• Ensure that relevant procedures, systems and controls are up to date and effective, and to identify / facilitate remedial action where necessary
• Assist in preparing management information and reporting regarding surveillance and monitoring activities
• Assist in the enhancement of existing processes and develop new processes for identifying instances of Market Abuse and breaches to Conduct of Business and Exchange rules etc.
• Ensure the use of workflow investigation tools
• Contribute to the set-up, implementation and operation of risk prevention tools
• Contribute to the implementation of Regulatory, Group and CIB standards against money laundering, fraud, corruption, terrorism, etc.
• Comply with all applicable legal, regulatory and internal Compliance requirements, including, but not limited to Compliance policies and procedures as issued from time to time.
Skills & Qualifications
- Bachelor's degree or higher, in economics, banking, finance or related Studies
- Professional level knowledge of securities and banking regulation.
- Knowledge of trading and business terminology.
- 3+ years' surveillance/compliance experience within a financial services/securities environment.
- Strong organizational skills – ability to multitask and prioritize based on potential impact
- Capacity to analyze issues, synthesise findings and communicate them in an effective manner;
- Excellent interpersonal skills – ability to liaise in a professional manner with all levels of staff / management
- Proven ability to work autonomously
- Communication – Communicates clearly, both verbally and in writing.
- Languages: English, French
Technical competencies and Experience
- Demonstrate personal initiatives, ownership and accountability
- Strong Focus on Meeting Deadlines
- Project Management – previous experience in being part of large and/or diverse projects
- Market, product & business –Is genuinely interested in financial markets and continually learning
- Powerpoint / Excel skills – very proficient in use of such tools
About Axelon
Sourced by ZipRecruiter
Axelon is a leading staffing and recruiting firm headquartered in New York, NY, US. Rooted within the staffing solutions industry, it was established with a mission to connect and leverage talent worldwide. Its official website is axelon.com. Axelon provides a range of services from staffing solutions to consulting services. With decades of service delivery experience under their belt, they possess an unrivaled ability to deliver global talent across all industries and professions, including information technology, administrative, engineering, professional, and scientific sectors. Axelon places strong emphasis on collaborative values, tirelessly working to build strong relationships with clients, candidates, employees, and vendors alike.
Industry
Recruiting and staffing services
Company size
501 - 1,000 Employees
Headquarters location
New York, NY, US
Year founded
1977