What are the responsibilities and job description for the Equity Trade Surveillance Advisor position at Yoh, A Day & Zimmermann Company?
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 https://www.yoh.com/applicants-with-disabilities 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.
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 https://www.yoh.com/applicants-with-disabilities 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.
Salary : $140,000
