Trade Surveillance

3 weeks ago

New York, United States Lime Trading Full time

Lime Trading Corp., a financial services company for retail and institutional traders, is ready for the next stage of our growth. Although we are an established company with dedicated investors and long-term clients, Lime Trading is in the midst of an exciting period of expansion. We are thrilled for our rapidly increasing reach in this industry, and we are committed to meeting the demands of that growth.


TRADE SURVEILLANCE


The Firm is looking for a trade surveillance professional for the Compliance Department.

The surveillance team is responsible for monitoring trading in equity and derivatives, to detect trading activity that could adversely affect the firm and its reputation. The surveillance professional will work closely with experienced staff and develop the capacity to conduct high quality routine surveillance with minimal supervision.


Duties and Responsibilities include:


  • Work with IT, Operations, and other stakeholders to identify business changes and regulatory developments that warrant updating existing or developing new surveillance patterns to ensure the Firm has comprehensive coverage. The surveillance professional will help to ensure firm policies and procedures comply with appropriate laws, regulations and industry guidance with a focus on equity activity which includes activity such as- agency trading, retail and institutional trading, options trading, futures and algorithmic trading.
  • Timely analysis of alerts leading to the detection and prevention of market or firm damaging misconduct;
  • Perform ad-hoc reviews of trading activity by analyzing complex situations, identifying high risk behaviors, and applying judgement to resolve issues in an efficient manner;
  • Contribute to design and development of controls to enhance surveillance coverage, including but not limited to various forms of conduct risk, and market manipulation;
  • Work with Technology teams and / or vendors in developing new tools and Surveillance controls.
  • Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews. Improving surveillance tools and applications by coordinating with Information Technology on the timely implementation of enhancements and proactively addressing potential issues.
  • Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments.
  • Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews.
  • Additional duties as assigned


QUALIFICATIONS

Skills required:

  • 5+ years of relevant working experience in the financial services industry in Compliance
  • Experience in an asset class such as Equities / Equities Derivatives/Futures
  • High attention to details
  • Strong analytical and investigative skills
  • Ability to manage multi task, and handle multiple compliance reviews and projects at the same time and meet deadlines
  • Proactive in identifying risks and proposing solutions
  • Exposure to trading desks, electronic trading market and securities industry strongly preferred
  • Strong computer skills including MS Office Suite; Excel,


About Lime Trading

Lime Trading is a diverse financial services organization offering client access to retail, institutional and futures services. Using a multitude of service providers and in-house proprietary technology, Lime Trading aims to provide traders with the technology, tools, and support needed to effectively manage their investments. Brokerage services provided to clients of Lime Trading Corp., an SEC-registered broker-dealer and member of the Financial Industry Regulatory Authority (FINRA), and the Securities Investors Protection Corporation (SIPC). Visit for more information.

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