Risk Management Group - Trade Surveillance Analyst

  • Competitive
  • Jacksonville Beach, FL, USA
  • Permanent, Full time
  • Macquarie
  • 26 Sep 16

Risk Management Group - Trade Surveillance Analyst

Macquarie is currently seeking an Insider Trade Surveillance Analyst to focus on securities trade monitoring, surveillance and reporting to be located Macquarie's offices in Jacksonville, Florida. Full Time Role: Analyst/ Sr. Analyst - Personal Account Dealing and Insider Trading Analyst Key Responsibilities:

  • Daily monitoring of personal/employee trade activities, policy exceptions and resolutions
  • Manage broker account request/cease letters regarding duplicate confirms and statements
  • Respond to staff inquiries via phone and email
  • Conduct insider trade surveillance for trading businesses
  • Assist with teach-ins and new hire information packs and training
  • Execute consequence management program, including responding to staff concerns
  • Assist with management reporting
  • Medium term - to train and mentor admin staff / offshore team to:
  • Review and entry of statement trade data
  • administration personal trade platform
  • Maintain employee account and trading records
  • Assist in other compliance tasks as required to ensure team objectives are achieved

Skills and Attributes:
  • Solid understanding of US securities trading businesses and prior experience having performed a similar role in a Personal Account Dealing / Insider Trade Surveillance functions
  • Sound interpersonal skills and relationship building abilities with all levels of seniority within the business, maturity to navigate front-office discussions regarding personal dealing escalations
  • Integrity and sensitivity in communications with employees regarding personal financial information
  • Ability to work through tasks systematically and monitor own work to ensure consistency and timeliness
  • Ability to learn and understand applicable regulatory rules and regulations and industry best practices
  • Ability and strong desire to work as part of an effective and collaborative team
  • High level of engagement and participation in discussion about compliance policy and strategy
  • Attention to detail and a team player
  • Preferred candidate would have a US Series 7 qualification (or held one in the past)
  • Effective written communication skills for report writing and analysis
  • Strong Microsoft Office skills - Access, Excel, Word and Outlook

Advertised: 30 Aug 2016 Eastern Standard Time
Applications close: