Compliance - Fixed Income Trade Surveillance Associate

A large investment management firm located in NYC looking to bring on a new "Compliance - Fixed Income Trade Surveillance Associate" to join their team. This role is full time in office.- You will be a key player in providing surveillance coverage for fixed income trade activity- Your role will involve reviewing surveillance alerts and escalating any activity that may appear to be potential market manipulation or other impermissible trading behavior- You will work closely with Line of Business management and LOB Compliance stakeholders, as well as global/regional Surveillance teams, to promote our global program and its responsibilities- Review surveillance output and analyze trading and market activity, with a focus on firmwide trading in fixed income products to identify potential market manipulation or other impermissible trading behavior- Ensure compliance with various regulations including Investment Company Act of 1940- Conducting timely and thorough trade surveillance reviews and disclosures across Equities, Options, and Fixed Income- Conduct reviews and analysis to support regulatory exams and inquiries and other requests, and as needed work with the Legal department on responses- Series 7 is required for the role

Created: 2025-02-25