Surveillance Dodd Frank Analyst recruitment

The responsibilities of the Surveillance Dodd Frank Analyst will include:
• Gaining systems access to and become familiar with different Trade Capture Systems for each FID business
• Conducting surveillance report reviews on a daily basis, investigating exceptions and distinguishing policy/rule violations from false positives
• Learning and staying abreast of the relevant regulatory and policy requirements that inform and otherwise impact surveillance program including as appropriate
• Learning how surveillance reports pull and synthesize trade information to reasonably achieve compliance with the regulatory and policy requirements.
• Coordinating surveillance processes with IT, global colleagues and outside vendors and work with off-shored personnel in Centers of Excellence to ensure consistency of approach and appropriate supervision of off-shored work.
• Updating and enhancing surveillance procedures and properly document any changes in the Surveillance Manual.
• Reviewing and analyzing TRACE reporting and Report Card statistics
• Assisting with related regulatory inquiries, such as FINRA late trade and miss-match inquiries.
• Managing the Exception Tracking process for FID.
• Learning the requirements of various Dodd Frank rules and working with FID Compliance staff to understand how they impact the Fixed Income Division (“FID”)
• Attending Project Management work-stream meetings to monitor issues raised and coordinate LCD response
• Identifying Policies and Procedures impacted by Dodd Frank changes and assist with tracking and updating of such policies and procedures
• Assisting with the development of trainings and presentations to educate FID business employees and Shared Services personnel on the Dodd Frank changes to processes and business conduct
• Assisting with the development of surveillance reports and processes to reasonably achieve compliance with the new Dodd Frank requirements.
• Assisting with other matters handled by Fixed Income Compliance personnel, including email review, preparation for external and internal reviews of the Compliance department, the scheduling of meetings and the creation and maintenance of related agendas.
Required Skills Experience
• Trade Capture Surveillance
• Regulatory Tracking.
• Dodd Frank Implementation
• Exception reporting
Desired Skills Experience
• Series 7 registration
• Securities Compliance
• Paralegal