Sales & Trading Supervision Analyst - New York, United States - Instinet
Description
Job Code: 6280- Country: US- City: New York- Skill Category: Compliance- Description:
Job title: Sales and Trading Supervision
Corporate Title:
Associate/Vice President
Department:
Surveillance/Compliance
Location:
New York
The pay range for this position at commencement of employment is expected to be between $100,000 and $150,000/year*Aon's Benefit Index, Nomura's benefits
rank
#1 amongst our competitors
The Sales and Trading Supervision team performs daily reviews of the Firm's trading across Cash Equity and Derivatives desks.
Working alongside
Compliance, Sales, Trading, Operations, and Equity Management teams the team are analyzing/evaluating data, identifying potential risk, and resolving issues decisively and accurately.
Role Responsibilities:
Performing reviews related to Trade Reporting, Reg NMS, Reg SHO and other applicable rules and regulations.
Analyzing trade data for potentially manipulative trading practices in US NMS and OTC Equities, Canadian Equities and US Options.
Supporting the Supervision, Management and Compliance teams with the resolution of surveillance matters.
Assisting compliance in the preparation of regulatory inquiry responses.
Developing and Implementing surveillance reports and regulatory controls which are reasonably designed to detect and mitigate regulatory issues.
Key qualifications critical to success in this role:3-15 years' experience in trading, trade support/operations or Compliance desirable
Sound understanding of US equity market structure
Proficient in excel
Able to work in fast paced environment with tight deadlines
Series 7 & 57 preferred but not required
- base pay offered may vary depending on multiple individualized factors, including market location, corporate and functional title and duties, job-related knowledge and advanced degrees, skills, and experience. The total compensation package for this position may also include other elements, including a sign-on bonus, restricted stock units, and discretionary awards in addition to a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.
If hired, employee will be in an "at-will position" and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors".
Nearest Major Market:
Manhattan
Nearest Secondary Market:
New York City
