Risk Management Expert
4 days ago
The Trade Surveillance Analyst role at Apollo Fintech Solutions is a challenging and rewarding position that requires a high level of expertise in trade regulation and analysis. As a Trade Surveillance Analyst, you will be responsible for identifying and preventing market manipulation and abuse, investigating suspicious trades, and communicating with correspondent firms to educate them on current trends and best practices.
Key Responsibilities
- Analyze trade activity to identify and prevent market manipulation and abuse
- Investigate suspicious trades and communicate with correspondent firms
- Research and analyze regulatory requirements to determine their impact on current processes and procedures
- Review and analyze current policies and procedures, recommending new and enhanced practices as needed
Requirements
- 3+ years of experience in trade surveillance functions for a retail and/or institutional broker-dealer
- In-depth knowledge of SEC and FINRA trade regulations
- FINRA Series 7 required; Series 3 is a plus
- Familiarity with Surveyor or other third-party trade monitoring systems is a plus
- Bachelor's degree and/or associate's degree plus equivalent combination of education, certification, and/or experience
What Sets Us Apart
We are a leading provider of financial services technology solutions, and we are committed to delivering innovative and reliable solutions to our clients. Our team is dedicated to excellence and strives to create a collaborative and dynamic work environment that fosters growth and development.
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