Legal and Compliance - Market Monitoring and Surveillance Specialist Liquidnet Holdings
Legal and Compliance - Market Monitoring and Surveillance Specialist
As a Market Monitoring and Surveillance Specialist, you will work closely with the Compliance, Sales and Product departments based in the New York office. You will also work closely with other Market Monitoring teams within the global organization.
The Market Monitoring and Surveillance Specialist?s primary responsibility is to assist Liquidnet in maintaining an orderly market by proactively conducting surveillance and monitoring activity by Liquidnet customers on our trading system.
The role reports directly to the Chief Compliance Officer.
Monitor customer trading activity by investigating real-time alerts and analyzing T+1 price movement reports, and assisting in the design of the surveillance process.
Record and investigate all complaints raised by customers and provide appropriate data and analysis to the Surveillance Committee to facilitate Liquidnet?s ability to address complaints on an expedited basis.
Maintain the surveillance application and ensure all Compliance and Market Monitoring procedures are up to date with any new Liquidnet initiatives, market developments and regulatory changes.
Generate and maintain data regarding customer system usage and provide usage data to facilitate communication with customers.
Develop requirements for new market monitoring reports or alerts as required, including participation in testing and implementation.
Participate in the annual Compliance Audit.
Assist the Compliance Department on other compliance projects.
Minimum 1 to 4 years? relevant surveillance or compliance experience.
Prefer experience working at an exchange, alternative trading system (ATS), FINRA, SEC or at a traditional sell-side brokerage/investment firm within their market surveillance and monitoring group.
Ability to conduct surveillance and analyze trading and system data to identify trends and track behavior on the Liquidnet trading system.
Strong oral and written communication skills are required as the candidate will present findings and opinions to Sales, Management and Liquidnet?s Members.
Strong industry knowledge is needed and the candidate must keep current with the latest in the securities and investment industries.
Experience working with investment industry compliance.
Strong Microsoft Office skills.
Initiative and negotiation skills.
SQL experience a plus.
Proven analytical skills and experience manipulating large spreadsheets.
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