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Surveillance Analyst
Ref No.: 17-03793
Location: Lenexa, Kansas
Position Type:Full Time
Pay Rate : $ 75,000.00 - 100,000.00 /Year
A securities firm based in Kansas City is looking for a Surveillance Analyst. The Surveillance Analyst position reporting to the Surveillance Team Leader.  The role will include real-time and pattern based surveillance of equity and option markets to detect possible violations of SEC rules and policies. 
Duties and Responsibilities: 
Performs a combination of the following duties according to Department and Division guidelines:
  • Conduct real-time surveillance and analysis of equity and option securities traded to detect possible violations of SEC rules and policies.
  • Conduct real-time monitoring of trading systems to ensure compliance with rules. 
  • Collaborate with various teams to further enhance the Regulatory Program.
  • Assist in responding to inquiries from the SEC and other regulatory bodies.
  • Assist in the maintenance of internal policies and procedures related to the Surveillance Program. 
  • Stay apprised of industry concepts and events while contributing in the creation of surveillance concepts that address potential regulatory concerns. 
  • Build and maintain an understanding of the regulatory environment, relevant rules and regulations, technologies and systems, processes and operational methodologies, investigative and examination techniques. 
Work Experience:
2 or more years of financial markets experience in a professional, administrative or analyst role.  Market experience may be gained through positions with banks, exchanges, asset managers, broker-dealers, hedge funds, mutual funds, or similar institutions. Directly related experience in a regulatory, compliance, surveillance, or investigative role is a plus.
Knowledge, Skills and Abilities:
  • Knowledge of general securities industry, derivatives markets industry, C2, CFE, BZX, BYX, EDGA or EDGX rules and regulations.   
  • Knowledge of the following preferred:  exchange regulatory and rules requirements as well as regulatory nuances; exchange data structures and regulatory design, including some systems elements.
  • Must be proficient in Excel and/or other applications that are utilized to analyze data and trends. 
  • Must have strong analytical and research skills. 
Ability to:
  • Organize and prioritize tasks and work assignments; complete multiple tasks simultaneously with accuracy and quality; adjust to changes in priorities and situations; complete work under pressure; meet deadlines.
  • Interact in a professional manner with internal and external contacts; communicate clearly with all levels of management and staff; use tact and diplomacy; maintain confidentiality; and appropriately handle and communicate controversial or sensitive information.
  • Be thorough and precise when accomplishing a task; double-check accuracy to consistently provide high-quality work with minimal errors; compare work to what is expected to find and correct inconsistencies; remain aware and take care of details for all aspects of the job involved, even those easy to overlook.
  • Learn new information and concepts quickly and independently; take initiative to seek knowledge needed for the job or assignment.
  • Evaluate, analyze, and summarize data and facts in a manner that clearly documents the review conducted and the decisions made for the particular matter.
  • Work cooperatively in group situations; balance team and individual responsibilities; and exhibit objectivity and openness to others' views.
Bachelor's degree in Finance, Business, Computer Science, or related field.  

Third Party Applications Not Accepted