A fast-growing, tech investment advisor firm is looking for a Trade Surveillance Analyst to join their Minneapolis-area team. This role will serve as a critical member of the organization, by assisting the compliance team conduct routine surveillance searches, monitor new rules and regulations that may impact the firm, and collaborate closely with the trading and technology teams.
The Trade Surveillance Analyst will be responsible for:
- Utilizing numerous tools and reports to conduct routine surveillance reviews
- Improving the automation of surveillance duties via close collaboration with the trading and technology teams
- Being on top of current and upcoming regulations/rules that could impact the firm
- Presenting initiatives and reports to the compliance department on a monthly basis
- Making sure the compliance program is successful and offering support as needed with the development of policies and procedures
The Trade Surveillance Analyst should have the following qualifications:
- 3-5 years prior experience working at an investment advisor, regulatory establishment, or a broker dealer
- Prior Trade surveillance experience is required
- Bachelor's degree is required
- Knowledgeable about fixed income, options, swaps, foreign currency, etc.
This firm offers the following competitive benefits which allows for a healthy work life balance such as:
- Competitive pay
- Generous PTO and paid holidays
- Work-life balance
If you are interested in the Trade Surveillance Analyst role, then please apply!