This position is no longer open for applications

Trade Surveillance Business Analyst

Job Description:

Trade Surveillance Business Analyst Summary:

Signature Consultants is seeking a Trade Surveillance Business Analyst for an opportunity with a client in Charlotte, North Carolina. Key factors for success include conducting independent regulatory research, preparing written analysis of regulations, understanding policies, and focusing on industry best practices.

Responsibilities:

  • Supports the Fixed Income, Equity, Municipal, Futures, and Swaps businesses 
  • Provides technology, policy/procedures, surveillance, testing, trending analysis, and management support 
  • Identifying, analyzing, and performing trade surveillance
  • Strong focus on using surveillance tools to assign and close alerts. 
  • Executing trade surveillance and assuring that all controls that comprise the compliance program are properly maintained and reported in a timely manner.
  • Understanding the transfer of security data between systems and the upstream and downstream impacts

Requirements:

  • Fixed income/Equity/Muni mostly
  • Swap Dealer/FCM Space
  • Surveillance and Monitoring
  • Monitor Broker Activity between broker dealer and bank
  • Acctimize is main tool-surveillance modules
  • Catalyst/Calypso/FACS/Broadridge

 

 

About Signature Consultants, LLC

Headquartered in Fort Lauderdale, Florida, Signature Consultants was established in 1997 with a singular focus: to provide clients and consultants with superior staffing solutions. For the ninth consecutive year, Signature was voted as one of the “Best Staffing Firms to Work For” and is now the 14th largest IT staffing firm in the United States (source: Staffing Industry Analysts). With 28 locations throughout North America, Signature annually deploys thousands of consultants to support, run, and manage their clients’ technology needs. Signature offers IT staffing, consulting, managed solutions, and direct placement services. For more information on the company, please visit www.sigconsult.com. Signature Consultants is the parent company to Hunter Hollis and Madison Gunn.

Apply Now

To apply for this job, please complete the following 6 fields and we will immediately follow-up (* = required).

Choose File
.doc, .docx, .txt, .pdf, .html
Would you like to help us get to know you even better?

The intent of asking for the following information is to assist Signature in meeting its commitments to equal opportunity and affirmative action requirements. Completing and returning this section is purely VOLUNTARY on your part and will have absolutely no effect on the status of your employment application.

Signature Consultants is committed to providing reasonable accommodation to qualified individuals with physical and mental disabilities according to state and federal disability discrimination laws. If, because of a disability, you need assistance or a reasonable accommodation for any part of the employment process, please email hr@sigconsult.com or call 888-838-1020. Signature Consultants will partner with you in good faith to identify and implement a reasonable accommodation, if any, that is appropriate and consistent with its legal obligations.

Signature Consultants is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.

EEO is the law: http://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf