Trade Surveillance - New York, United States - Lime Trading

Lime Trading New York, United States

3 weeks ago

Accounting / Finance

Description

Lime Trading Corp., a financial services company for retail and institutional traders, is ready for the next stage of our growth. Although we are an established company with dedicated investors and long-term clients, Lime Trading is in the midst of an exciting period of expansion. We are thrilled for our rapidly increasing reach in this industry, and we are committed to meeting the demands of that growth.

TRADE SURVEILLANCE

The Firm is looking for a trade surveillance professional for the Compliance Department.

The surveillance team is responsible for monitoring trading in equity and derivatives, to detect trading activity that could adversely affect the firm and its reputation. The surveillance professional will work closely with experienced staff and develop the capacity to conduct high quality routine surveillance with minimal supervision.

Duties and Responsibilities include:

Work with IT, Operations, and other stakeholders to identify business changes and regulatory developments that warrant updating existing or developing new surveillance patterns to ensure the Firm has comprehensive coverage. The surveillance professional will help to ensure firm policies and procedures comply with appropriate laws, regulations and industry guidance with a focus on equity activity which includes activity such as- agency trading, retail and institutional trading, options trading, futures and algorithmic trading.
Timely analysis of alerts leading to the detection and prevention of market or firm damaging misconduct;
Perform ad-hoc reviews of trading activity by analyzing complex situations, identifying high risk behaviors, and applying judgement to resolve issues in an efficient manner;
Contribute to design and development of controls to enhance surveillance coverage, including but not limited to various forms of conduct risk, and market manipulation;
Work with Technology teams and / or vendors in developing new tools and Surveillance controls.
Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews. Improving surveillance tools and applications by coordinating with Information Technology on the timely implementation of enhancements and proactively addressing potential issues.
Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments.
Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews.
Additional duties as assigned

QUALIFICATIONS

Skills required:

5+ years of relevant working experience in the financial services industry in Compliance
Experience in an asset class such as Equities / Equities Derivatives/Futures
High attention to details
Strong analytical and investigative skills
Ability to manage multi task, and handle multiple compliance reviews and projects at the same time and meet deadlines
Proactive in identifying risks and proposing solutions
Exposure to trading desks, electronic trading market and securities industry strongly preferred
Strong computer skills including MS Office Suite; Excel,

About Lime Trading Corp

Established in 2000, Lime's founders were hedge fund traders who couldn't find a brokerage firm to meet their needs for volume, speed, and privacy — so they created one.

Today, Lime Trading Corp is expanding competitive access to everyone who values quality execution. Lime is filling a vacuum between the bulge bracket banks and retail brokerage firms. As an agency broker, Lime is committed to a client-first approach to performance. The brand is comprised of Lime Trading Corp., an SEC-registered broker-dealer, Lime Advisory Corp., an SEC-registered investment adviser, and Lime Crypto LLC. Securities are offered through these regulated entities.

Lime Trading Corp. is an SEC-registered broker-dealer, member of FINRA/SIPC/NFA. For more information, visit

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