Trade Surveillance Compliance analyst
Job Title: Trade Surveillance Compliance Analyst
Location: Miami, Florida
Employment Type: Full-Time
About the Role:
Our Client, a leading global investment management firm, is seeking a highly motivated and detail-oriented Trade Surveillance Compliance Analyst to join their Compliance team in Miami. This role is critical to ensuring the integrity of trading activities and adherence to regulatory requirements across multiple asset classes.
Key Responsibilities:
- Perform routine surveillance of trading activity, focusing on anomalies and patterns that may indicate misconduct.
- Review and assess trade alerts, escalating issues when necessary for further investigation.
- Participate in ad hoc compliance initiatives and special projects as assigned by leadership.
- Ensure meticulous documentation and organization of compliance records in accordance with regulatory requirements.
Required Experience & Skills:
- 5-7 years of relevant experience, ideally within a regulatory agency, brokerage, bank, or asset management firm.
- Hands-on experience with equity or futures markets is strongly preferred.
- Bachelor's degree in Finance, Economics, or a related discipline is desirable.
- Holding FINRA Series 7 or Series 3 licenses is advantageous.
- Exceptional analytical and communication skills, with the ability to interpret complex data and convey findings clearly.
- Strong problem-solving mindset with a creative approach to resolving issues.
- Proven ability to manage multiple priorities and work effectively under pressure.
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