M-Logic, Inc.
- Review and follow up on a variety of surveillance / exception reports covering a range of products (equity securities, options, derivatives, corporate bonds, etc.).
- Interact with Compliance Advisors and Front office personnel in order to complete his / her reviews.
- The candidate will be expected to stay abreast of current regulatory issues and rule changes as well as be able to work with a variety of groups, including, but not limited to: Front Office, Operations, IT, and Legal.
- Participate in ad hoc projects and investigations as directed by the Head of Trade Surveillance
- Assist staff in responding to and researching for regulatory inquiries
Profile
- Significant experience monitoring for potential instances of market manipulation and/or potential instances of Exchange rule violations. Ideal candidate will have experience using NASDAQ Smarts Broker.
- Strong attention to detail
- Strong analytical, organizational, and written and oral communication skills
- Proven ability to work with diverse group of stakeholders
- Ability to prioritize and work in a dynamic, deadline-focused environment.
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