Market Surveillance Specialist

2 weeks ago


New York, New York, United States Hamlyn Williams Full time
Market Surveillance Job Description

Hamlyn Williams is seeking a skilled Market Surveillance professional to join their team. As a key member of the equities surveillance program, you will be responsible for monitoring market activity, ensuring regulatory compliance, and providing support to the trading desk.

Key Responsibilities:

  • Monitor market activity, including mark-ups, trade reconstruction, wash sales, and best execution.
  • Provide real-time support to the trading desk, addressing inquiries and concerns.
  • Analyze historical trading activity to facilitate responses to regulatory inquiries.
  • Review electronic communications to ensure compliance with regulations.
  • Stay up-to-date on industry enforcement actions and regulatory developments.

Requirements:

  • 2-5 years of experience in fixed income surveillance and advisory.
  • Comprehensive knowledge of fixed income market structure, sales and trading best practices, and TRACE reporting.
  • Proficient with order management systems like Bloomberg TOMS and various surveillance tools.
  • Excellent communication and analytical skills.
  • Ability to prioritize workflow efficiently and meet deadlines.

About Hamlyn Williams:

Hamlyn Williams is a leading recruitment agency specializing in financial services. We work closely with top investment banks and financial institutions to provide exceptional talent solutions.



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