BCG Analyst - Varite, Inc
New York, NY 10017
About the Job
Pay rate range: $35-40/hr.
Description:
- Business Controls Group ("BCG”) – Temporary Analyst
- This position is for a BCG Analyst for Client Securities, LLC. BCG is responsible for the delegate supervisory oversight of Client's 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 clients, 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 Client 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, Client CAT, Client 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.
Source : Varite, Inc
