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Trades Investigator

  • Location: Jersey City, NY
  • Job Type: Contract
  • Ref No: 21-00101
  • Date: January 08, 2021
  • Job title:

Job Description - Trades Investigator

A foreign bank is seeking a Trades Investigator to support the Capital Markets Surveillance team. Trades Investigators serve a critical function as the second line of defense (  "2LOD ) by independently conducting oversight and validation of the 1LOD/FOCS team’s investigations and reviews to ensure, among other requirements, they are sufficiently complete and robust to meet regulatory expectations. This may also include testing and validation of models, output, thresholds and quality review and analysis of written commentary.

They also proactively stays abreast of regulatory initiatives in the industry and potential risks to the firm in order to monitor for potential market abuse activity, regulatory violations, market manipulation, or suspicious activity or patterns.

Specifics skill sets for this position include:

  • Specialist in fixed income products (Credit, Rates)
  • Familiarity with trading desks and activity and how to analyze workflow in order to be able to   "check and challenge
  • Test completeness of 1LOD reviews and models and be able to validate scope, reasoning and/or model completeness or approve proposals to update any of these areas
  • Assist with Internal Audit and ad hoc regulatory requests.
  • Support the FI/FX Manager on projects, initiatives and cross training
  • Strong analytical and investigative skills;
  • Ability to manage multi task, and handle multiple compliance reviews and projects at the same time and meet deadlines;
  • Excellent interpersonal and communication skills, including writing, with the ability to interact effectively with front office staff and senior management;

Minimum Required Qualifications

  BA or BS Degree

  7 + years of experience with a financial services firm and/or self-regulatory organization in a compliance or regulatory related position;

  Experience or specialization in an asset class such as Credit, Rates

  Strong knowledge of market regulations, particularly in relation to Fixed Income industry including the rules and regulations of the SEC, CFTC and all exchanges and associations under such federal agencies, including Client, NYSE, CFTC

Preferred Qualifications:

  Exposure to trading desks, electronic trading market and securities industry strongly preferred

  Experience with surveillance and case management systems, such as NICE Actimize and SMARTS


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