Regulatory Analyst – Market Regulation, Floor Surveillance recruitment
Essential Job Functions:Conduct surveillance of trading in NYSE and NYSE Amex listed securities. Conduct in-depth and timely investigations of trading in NYSE and NYSE Amex listed securities. Perform analysis of trading activity to detect possible violation of rules, policies, and procedures. Interact with member organizations to obtain information and documentation. Examine all related market data and reconstruct trading using various automated tools and other methods. Conduct interviews and depositions of market participants and supervisory personnel. Draft investigative memoranda detailing Read more […]
July 4, 2012
• Tags: Compliance, Floor Surveillance recruitment, Legal careers in the USA, Market Regulation, Regulatory Analyst • Posted in: Financial • Comments Off on Regulatory Analyst – Market Regulation, Floor Surveillance recruitment