Trade Surveillance Associate
Posted on: 14 Sep 2021
Westlake, TX
Job Description
About the role
The Trade Surveillance Specialist will be a senior contributor working with a team responsible for designing and implementing trade surveillance processes and controls. This includes monitoring exception reports to identify market manipulation and suspicious activity as well as drafting responses to regulatory inquiries. The successful candidate will support the team in monitoring customer behavior to ensure we meet our requirements under Firm policy, BSA, FinCEN guidance, SEC rules, and FINRA regulations
Your day-to-day will involve:
Perform trade surveillance reports, investigate anomalies and make determinations
Investigate and draft responses to regulatory inquiries
Provide order and trade data to regulators upon request
Perform data analysis to calibrate and enhance trade surveillance controls
Develop and implement process improvements to increase quality and scalability
Build trust with various internal partners by providing regulatory insights and compliance guidance.
Participate in cross-functional, ad hoc projects
About you:
Bachelor’s Degree
Experience with compliance related to equities and options
3+ years working in compliance, financial services operations or a relevant function
General understanding of brokerage operation and compliance functions
Self-starter with ability to work independently
Strong written and verbal communication, analytical skills and strong attention to detail
Ability to effectively manage multiple priorities and adapt to a changing environment
Bonus points:
FINRA Series 7
Experience with Nasdaq SMARTS Trade Surveillance system
Crypto currency surveillance
Robinhood
Menlo Park, CA
Robinhood Markets, Inc. is an American financial services company headquartered in Menlo Park, California, known for offering commission-free trades of stocks and exchange-traded funds via a mobile app introduced in March 2015. Robinhood is a FINRA-regulated broker-dealer, registered with the U.S. Securities and Exchange Commission, and is a member of the Securities Investor Protection Corporation.The company's revenue comes from three main sources: interest earned on customers' cash balances, selling order information to high-frequency traders (a practice for which the SEC opened an investigation into the company in September 2020) and margin lending. As of 2020, Robinhood had 13 million users.
Robinhood is on a mission to democratize finance for all. We believe it should work for everyone and not just a few. We offer commission-free trading in one, user-friendly platform. Trading in stocks, ETFs and options is offered through Robinhood Financial LLC, member SIPC. Cryptocurrency trading is offered through Robinhood Crypto, LLC. Keep in mind other fees may still apply to your brokerage account. Please see Robinhood Financial’s Fee Schedule at rbnhd.co/fees to learn more. All investments involve risk, including the possible loss of principal. Past performance of a security, or financial product does not guarantee future results or returns. Robinhood Crypto is licensed to engage in virtual currency business activity by the New York State Department of Financial Services and is not a member of FINRA or SIPC. Cryptocurrencies are not stocks and your cryptocurrency investments are not products protected by either FDIC or SIPC. Robinhood Financial LLC and Robinhood Crypto, LLC are wholly-owned subsidiaries of Robinhood Markets, Inc.
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IndustryBanking/Financial Services
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No. of Employees1,281+
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Website
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Jobs Posted99
