Equity Trade Surveillance Advisor

Title: Equity Trade Surveillance Advisor (AVP)
Location: NYC
Type: Contract-to-hire or Fulltime

**Must have done trade surveillance in equities.

Responsibilities
Help manage the equity supervision and surveillance program
Run calibrations and document results to ensure appropriate alert parameters are in place
Ensure written supervisory procedures and followed and up to date
Assist the trading desk with real time questions
Evaluate industry enforcement actions and regulatory changes relevant to client company
Aid in responding to regulatory inquiries and exams
Conduct new hire training and targeted training with sales and trading
Conduct electronic communications reviews on behalf of supervisors

Qualifications
Bachelor's degree
2-4 years experience with a focus on equities surveillance and advisory
Understanding of equity market structure, sales and trading best practices, and trade reporting
Familiarity with order management systems such as Fidessa and surveillance tools such as Nasdaq Trade Surveillance
Strong interpersonal, verbal and written communication skills
Ability to effectively analyze, organize and prioritize workflow according to internal and external deadlines
Fast learner with a proactive and team-oriented mindset
Ability to work professionally and confidentially
SIE, Series 7 and Series 24 required for role but not a pre-requisite

Estimated Min Rate: $110,000.00
Estimated Max Rate: $140,000.00

Note: Any pay ranges displayed are estimations. Actual pay is determined by an applicant's experience, technical expertise, and other qualifications as listed in the job description. All qualified applicants are welcome to apply.

Yoh, a Day & Zimmermann company, is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Visit to contact us if you are an individual with a disability and require accommodation in the application process.

For California applicants, qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act. All of the material job duties described in this posting are job duties for which a criminal history may have a direct, adverse, and negative relationship potentially resulting in the withdrawal of a conditional offer of employment.

Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.