This job board retrieves part of its jobs from: Toronto Jobs | Emplois Montréal | IT Jobs Canada

Fresh job offers in the Sunshine State!

To post a job, login or create an account |  Post a Job

Trade Desk Surveillance Associate

StoneX Group Inc.

This is a Full-time position in Orlando, FL posted May 3, 2021.

Position Purpose: Actively searching for a Trade Desk Surveillance team member to assist with the firm’s adherence to Consolidated Audit Trail (CAT) and Order Audit Trail System (OATS) regulatory and trade reporting requirements.

Also responsible for detecting activity and/or problematic behaviors that may compromise regulatory rules or the firm’s internal policies and procedures.Primary Accountabilities/Responsibilities:* Conduct daily CAT/OATS reviews, including linkage, rejections and named events, for analysis, repair and resubmission in a timely manner.* Work with various order management systems, CAT/OATS reporting vendors, internal staff and trading counterparties to resolve CAT/OATS reporting issues.* Gain a deep understanding of the phased rollout of CAT requirements to help the firm ensure compliance.* Weekly review of FINRA and Fidessa CAT/OATS reportable lists for symbol set up in Fidessa.* Monthly reconciliation of CAT and OATS Report Cards with daily TDS OATS spreadsheet.* Real-time monitoring of the Fidessa failed trade reports grid to reduce potential CAT/OATS reporting issues.* Review and resolve daily exceptions relating to trading activity, trade reporting, order handling generated by the various Order Management Systems, Trade Reporting Systems and Clearing firms.* Perform trade surveillance across product types (equity, options, fixed income) and multiple trading systems; investigate potential exceptions and escalate when required.* Perform daily Best Execution Reviews for trading desks based on the firm’s best execution practices.* Work with trading desks, operations, and/or external vendor to resolve trade exceptions.* Use research skills for problem solving with ad hoc tasks.* Ability to perform due diligence for various functions, for example, responding to both internal and external regulatory inquiries.* Monitor adherence to the firm’s policies and procedures as it relates to the trading platforms.* Assist in training Interns, Assistants and Associates on Trading Desk Surveillance tasks.* From time to time, assist with the update of the firms Written Policies and Procedures.* Maintain prompt and regular attendance.* This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.Job Requirements:* Bachelor’s degree and/or equivalent work experience in the financial industry
– trading environment.* 3 years plus of financial industry experience, preferably in the Trading Surveillance, Front Office Trading Desk, Trade Support, Compliance or Risk Management area.* Knowledge of Broker Dealer regulatory rules and processes across a wide range of product types.* Must be a self-starter, flexible and adaptive with keen attention to details.* Strong work ethic.* Excellent written and verbal communication skills.* Ability to take initiative in completing assigned tasks in a timely manner and meet deadlines.* Solid time management skills, ability to learn quickly and adapt to changes and be flexible.* Excellent organizational, investigative and analytical skills.* Ability to prioritize and manage multiple tasks.* Familiarity with surveillance products and trading systems (CAT Reporter Portal, Eventus, Fidessa) are a plus.* Proficient knowledge of Microsoft Office including Excel.* Ability to create ad-hoc reporting using Excel functions.* Must be authorized to work in the US for any employer.Physical requirements/Working conditions:* Climate controlled office environment.* Minimal physical requirements other than occasional light lifting of boxed materials.* Dynamic, time-sensitive, trading room environment.