The ISE is currently recruiting a dynamic individual to join our team as a Market Surveillance Analyst responsible for the surveillance of ISE’s options and Direct Edge’s equity markets. The qualified candidate will be analyzing data on customer and firm trading activity and identifying potential violations of ISE, EDGA, EDGX, and SEC rules and regulations. They will also be involved in conducting investigations of potential violations.
Responsibilities to include:
Process alerts and review reports
Conduct investigations to detect violations of ISE, Direct Edge (EDGA/EDGX), and SEC rules and regulations. The process involves:
Writing reports based on findings
Presenting findings to Management
Periodic review of procedures
Suggest recommendations to improve the efficiency and effectiveness of the regulatory process
Interact with internal and external customers on various regulatory issues, including education and interpretation of rules
Experience Required/Results Expected:
Knowledge of equity and option markets and terminology
Strong knowledge of MS Word, MS Excel, MS Access are desirable.
Good understanding of investigative areas
Investigations produced with minimal supervisory assistance, including an understanding of documentation requirements
Ability to interact and communicate with ISE and Direct Edge (EDGA/EDGX) membership on areas of expertise
Surveillance system alerts accurately processed and within established time frames
Make recommendations to improve Department
Clear communication with Management
Attention to detail and highly organized
Ability to work independently with minimal supervision
International Securities Exchange Inc. - 22 months ago
The International Securities Exchange (ISE) operates a U.S. options exchange As a member of Eurex Group, ISE is combined with Eurex Exchange...