New Role: Business Controls Group Analyst
Location: New York, NY 10017
Duration: 3 Months
Business Controls Group (BCG) Temporary Analyst
This position is for a BCG Analyst for Client. BCG is responsible for the delegate supervisory oversight of Client Sales & Trading and Equity Research operation, by designing, implementing, and reviewing a suite of surveillances to identify violations of regulatory rules or internal policies and procedures. BCG resides within the Business Unit and partners with Supervisors to act as the first line of defense.
When potentially anomalous behavior is detected, the BCG Analyst is responsible for escalating the activity and working collaboratively with partners across Client to determine the appropriate resolution for the matter. The BCG Analyst would utilize a variety of surveillance tools to analyze trading activity, e-communications, employee trading and operational risk.
Responsibilities:
Analyze trading activity
Perform, develop, and maintain surveillance reviews
Identify potential risks for the Firm and escalate the matter to a designated manager
Generate ad-hoc reports, perform data analysis, and provide direction to Business Unit personnel, where appropriate
Support aspects of planning and executing projects to assist the Firm in complying with regulatory requirements
Additional responsibilities, as assigned
Appropriately assess and escalate risk when business decisions are made, demonstrating particular consideration to safeguarding Client, reputation, and regulatory footprint
Participate in ad-hoc requests, special projects and regulatory exams directed by management, compliance or legal departments
Requirements:
Qualifications
Knowledge of broker-dealer related SEC and FINRA rules
A strong understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects
Trading floor experience (trade support, controls/compliance)
Series 7, 55, 63, 24, 4 preferred
Ability to review and analyze supervisory trade surveillance reports
Understanding of trading systems, FINRA CAT, FINRA Gateway
Excellent research and analytical skills
Excellent written and verbal communication skills
Self-starter, flexible, innovative and adaptive
Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
Ability to navigate a complex organization by working collaboratively with regional and global partners in other functional units
Willingness to work in a fast paced environment with a positive attitude
Proficiency in MS Office applications (Excel, Word, PowerPoint)
Education
Bachelor's degree; experience in a financial services firm, regulatory organization, or a combination thereof
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