Assistant Vice President - Fixed Income & FX Surveillance Analyst

5 - 7 years experience  •  Financial Services

Salary depends on experience
Posted on 09/22/17
New York, NY
5 - 7 years experience
Financial Services
Salary depends on experience
Posted on 09/22/17

Business Overview:

The Capital Markets Surveillance Team (CMS) is part of the Compliance Risk Management (CRM) Group within the Compliance Department. CMS is responsible for working with Business Management, Compliance Advisory, Global Counterparts and IT to monitor for potential market abuse activity, regulatory violations, market manipulation, or suspicious activity. CMS also proactively stays abreast of regulatory initiatives in the industry and potential risks to the firm in order to assess areas to expand or improve surveillance models or reviews. CMS plays a critical role in working with the front and back office staff to perform investigations, when necessary, and to determine and coordinate corrective action.



The Capital Markets Surveillance Fixed Income & FX Analyst (“CMS FI & FX Analyst”) reports to the FI (Credit, Rates, and FXLM) Team Leader. Capital Markets Surveillance is a specialized unit within Ethics and Compliance N.A. and this position is primarily responsible for reviews on existing surveillance Actimize models, conducting in depth investigations on trading activity and patterns, and refining and building surveillance models in accordance with and in anticipation of regulatory expectations.


Specific Responsibilities:

The CMS FI Analyst will be responsible for the following:

  • Conducts transaction surveillance of Credit, Rates, FX business units in order to detect potential regulatory violations, identify suspicious activity and items requiring corrective action;
  • Analyzes transaction activity detected, documents his/her findings, provides written explanations to the transaction detail, and conducts investigations into any issue that may arise during the course of his/her analysis;
  • Interacts with Front Office Salespeople, Traders, Supervisors and Compliance Advisory staff so that an appropriate resolution may be achieved and communicates issues in a proactive manner;
  • Raises matters of importance to Departmental Management for discussion, participates in Team meetings, conducts investigations into potential violative and/or suspicious activity and if warranted, refers cases for Suspicious Activity Reports filing with the Financial Crimes Enforcement Network for law enforcement purposes; 
  • Escalates serious potential issues and exception items noted during the review process to Management for discussion and further investigation if deemed necessary;
  • Assists with building of new models to cover new Surveillance priorities
  • Conducts or assists with special investigations and projects

Minimum required qualifications:

The desired skills for this position include:

  • BA or BS Degree
  • 5+ years of experience with a financial services firm and/or self-regulatory organization in a compliance or regulatory related position;
  • Experience or specialization in an asset class such as Credit, Rates, FX
  • Exposure to trading desks, electronic trading market and securities industry strongly preferred
  • Experience with surveillance and case management systems, such as NICE Actimize and SMARTS
  • Strong knowledge of securities regulations, particularly in relation to fixed income industry including the rules and regulations of the SEC, CFTC and all exchanges and associations under such federal agencies, including FINRA, NFA, NYSE, CBOE, ISE, CME, NYMEX and ICE US;
  • Excellent interpersonal and communication skills, including writing, with the ability to interact effectively with front and back office staff and senior management;
  • Strong analytical and investigative skills;
  • Ability to manage multi task, and handle multiple compliance reviews and projects at the same time and meet deadlines;
  • Strong computer skills including MS Office Suite; Excel


Preferred qualifications:

  • Master’s Degree or LawDegree a plus
  • Series 63 and/or 7


FINRA Registrations Required: 

  • Not Applicable


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