The ISE is currently recruiting a dynamic individual to join our team as a Market Surveillance Analyst. The qualified candidate will be analyzing data on customer, firm and market maker trading activity and identifying potential violations of ISE or SEC rules and regulations. They will also be involved in conducting investigations of potential violations.
Responsibilities to include:
- Conduct investigations to detect violations of ISE or SEC rules and regulations. Investigations will focus on Breach of Information Barrier - Internal, Order Internalization, Pre-Arranged Trading, etc.
- The process involves: Requesting information from brokerage firms, analyzing data and writing reports based on analysis
- Presenting findings to Management
- Conduct routine Surveillance through an automated system for detection of potential regulatory violations.
- Suggest recommendations to improve the efficiency and effectiveness of the regulatory process.
- Interact with internal and external customers on various regulatory issues, including education and interpretation of rules.
Experience Required/Results Expected:
- Investigations produced with minimal supervisory assistance, including an understanding of documentation requirements.
- Surveillance system alerts accurately processed and within established time frames
- Excellent organizational and analytical skills required.
- Excellent writing and verbal skills.
- Attention to detail and highly organized.
- Self-motivation and the ability to work independently.
- Options knowledge and Exchange experience are a plus.
- Strong knowledge of MS Word, MS Excel, MS Access are strongly desirable.
- Good understanding of options.
- Ability to interact and communicate with ISE membership.
- Make recommendations to improve Department.
- Clear communication with Management.
New York, NY, US.
