Surveillance & Regulatory Compliance Advisory (AVP)

Our client is an investment bank servicing clients in fixed income and equity capital markets globally. They are currently looking for someone to come in to service their equities surveillance program and help with all regulatory compliance issues.

Responsibilities:

Support the management of the equities surveillance program, which includes monitoring mark-ups, trade reconstruction, wash sales, best execution, and other relevant aspects.

Provide assistance to the trading desk by addressing real-time inquiries and concerns.

Analyze historical trading activity to facilitate responses to regulatory inquiries.

Perform reviews of electronic communications on behalf of supervisors to ensure compliance with regulations.

Stay updated on industry enforcement actions and regulatory developments pertinent to Cantor.

Verify the accuracy of written supervisory procedures and the supervisory framework.

Qualifications:

2-5 years of experience, specializing in equities surveillance and advisory.

Comprehensive knowledge of fixed income market structure, sales and trading best practices, and TRACE reporting.

Proficient with order management systems like Bloomberg TOMS and various surveillance tools.

Excellent interpersonal, verbal, and written communication abilities.

Capable of analyzing, organizing, and prioritizing workflow efficiently, meeting both internal and external deadlines.

Quick learner with a proactive approach and a strong team-oriented mindset.

Demonstrates professionalism and discretion in handling confidential information.

For more information on this role, or if you're looking for your next opportunity and/or looking to hire please reach out:

Jack Walsh Associate Consultant