A global clearing firm here in Chicago is looking to bring on a market surveillance officer. The Market Surveillance and Supervision (MSS) department resides within the Risk Department and performs surveillance of the sales and trading practices of the firm and its customers including all markets. If you have experience in trade/market surveillance, as well as check off the requirements below, apply now!
- Document, review and approve new account documentation for Securities, Options and Futures/Commodities
- Work closely with IT, Operations and management within AAC-USA to develop efficiencies through automation, development of new processes or modification of existing processes
- Conduct daily regulatory surveillance reviews (Market Surveillance utilizing Nasdaq Trade Surveillance - SMARTS)
- File and review regulatory reporting including Large Option Position Reports (LOPR), Consolidated Audit Trail (CAT), Electronic Blue Sheets (EBS), Short Interest etc.
- At least five years of experience in Compliance, Regulatory, Supervisory or as a Registered Representative/principal role with a Broker/Dealer
- Experience with futures, equities and options marketplace
- Experience in creating/calibrating surveillance reports and systems
- Must have Series 7, 24, & 3
- Experience with the mechanics of a clearing organization
- Understanding of Industry Rules and Regulations (including Reg SHO, CAT, LOPR)