A Self Clearing Broker Dealer is looking to bring on a Trade Surveillance Associate to their team in NYC.

Responsibilities: 

• Monitor surveillance of trade activities of the firm. 
• identifying potential violations of Federal Securities Law, regulatory violations, and other positions that could affect the firm. 
• Identifying certain forms of market manipulation, forms of misconduct, and position limit, 
• Create written reports that are reviewed by management in situations involving violations. 

Requirements: 

• Bachelors Degree
• Must have Series 7 or 24
• 2-5 years of  equity surveillance experience

If interested feel free to reach out 
E. Nancy.Ruf@trevosepartners.com