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Job Description
Virtu Financial is seeking a Compliance Surveillance Analyst to join their Legal and Compliance team. The ideal candidate will be experienced, self-driven, and possess analytical thinking skills to improve existing processes. This role involves analyzing order and trade information, working across compliance areas, managing deadlines, and interacting with stakeholders. The Compliance Surveillance Analyst will collaborate with business functions to provide advice, conduct surveillances, investigate issues, and develop corrective actions.
Responsibilities:
- Develop and perform surveillance and supervisory reviews across multiple subject matters.
- Coordinate and work with our inquiry team on related inquiries.
- Drive compliance innovation initiatives with a focus on greater automation, increased efficiency, and trend analysis.
- Coordinate with trading teams, technology, and other relevant stakeholders across the organization to escalate and remediate issues identified through the course of surveillance reviews.
Requirements:
- Bachelor’s Degree or Commensurate Experience preferred however will consider other relevant experience.
- 2-6 years of experience with a financial services firm, Fin-Tech, regulator or commensurate experience.
- Strong working knowledge of broker-dealer regulation, including securities and commodities laws and SEC, CFTC, and SRO Rules.
- Experience analyzing trading activity across a variety of asset classes, such as equities, options, fixed income, currency, commodities, futures, fx, swaps, forwards, and cryptocurrencies.
- Strong communication and interpersonal skills.
Virtu Financial offers:
- A role in shaping Virtu's Compliance function.
- Opportunity to drive compliance innovation.
- Collaboration with trading teams and technology.
