BCG Analyst Trading analyst
BCG Analyst Trading analyst
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Job Description
Job Title: BCG Analyst
Duration: 6 months Contract
Location: New York NY 10017
Rate: $40 Hourly
100% Remote work
Description:
Business Controls Group (BCG) Temporary Analyst
BCG is responsible for the delegate supervisory oversight of Clients 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 ecommunications employee trading and operational risk.
Responsibilities
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- Analyze trading activity
- Perform develop and maintain surveillance reviews
- Identify potential risks for the Firm and escalate the matter to a designated manager
- Generate adhoc 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
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- Appropriately assess and escalate risk when business decisions are made demonstrating particular consideration to safeguarding clients reputation and regulatory footprint
- Participate in adhoc requests special projects and regulatory exams directed by management compliance or legal departments
Requirements:
Qualifications
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- Knowledge of brokerdealer 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)
- Seriespreferred
- 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
- Selfstarter 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
Bachelors degree; experience in a financial services firm regulatory organization or a combination thereof
Employment Type
Full Time
