A multi-strategy hedge fund is looking for a Trade Surveillance Analyst to join their regulatory and financial services team. A major focus of the role will be on trade surveillance matters, such as conducting routine surveillance searches, identify potential breaches of market conduct rules or financial crime, advise business partners on new rules and regulations that may impact the firm, and work closely with the trading and technology teams. The position creates a path for professional growth and developmental opportunities at a growing hedge fund firm. The opportunity sits in a hybrid structure, with location needed in the Minneapolis market.
* Conducting trade surveillance and monitoring of transactions in the market, including OTC and any products that the firm offers for potential market manipulation or insider trading activity
* Properly document surveillance reviews, investigations, and market activities to ensure compliance with regulatory guidelines
* Providing research on new updates for regulatory market trends, laws, and regulations, specifically with the SEC, FINRA, and CFTC
* Assist with responses to inquiries from the SEC and other regulatory agencies regarding trading activity
* Share findings of suspicious activity with applicable team members
* Develop policies and procedures and monitor the effectiveness of the firms compliance program
* Bachelor's degree in Business, Finance, or Economics
* 5+ years at a hedge fund, broker-dealer or investment advisor is a must
* Trade surveillance experience, preferred with customer trading surveillance
* Experienced with FINRA, SEC, CFTC laws and regulations
* Working knowledge with options, futures, foreign currency, swaps, asset classes, and products
* Competitive salary and an excellent bonus package
* Full Benefits (medical/dental/vision/401k)
* Flexible Hybrid schedule - Minneapolis
Please apply by clicking the link above for immediate consideration!