Overview
Regulatory Surveillance Analyst Jobs in Philadelphia, PA at Verafin
Full Job Description
Nasdaq’s regulatory functions include listings, surveillance, investigations and enforcement, regulatory rule filings and regulatory technology. This framework benefits investors and listed companies trading on Nasdaq exchanges and strengthens our regulatory program by turn enhances the integrity and transparency of the markets, protect investors and developing the next generation of regulatory technologies and processes.
What will you be doing?
You will monitor real-time trading and aggregated post-trade market activity across equity and options markets to ensure appropriateness.
You will evaluate all aspects of orders, quotations and transactions, typically having a specific focus on potential market manipulation, transaction appropriateness, and rule compliance.
Who are we looking for?
Completes basic surveillance of real time trading and post trade analysis.
Completes basic interventions in trading, e.g. trade breaks and suspensions, with guidance and oversight by supervisor.
Assists with monitoring markets to detect anomalies, review electronically generated alerts, and address market participant inquires.
Ability to provide analytics insight to determine optimal parameter settings based on trading activities.
Write procedures outlining a process or recurring activity, and write explanations for the disposition of alerts researched.
Education Required: Bachelor Degree in Business/Finance or related discipline, or a couple of years of related work experience.
And it would be great if you have
Expertise with Microsoft Excel, proficiency with Word and PowerPoint
Excellent oral and written communication skills
Excellent conflict management and customer service skills
Come as You Are
Nasdaq is an equal opportunity employer. We positively encourage applications from suitably qualified and eligible candidates regardless of age, color, disability, national origin, ancestry, race, religion, gender, sexual orientation, gender identity and/or expression, veteran status, genetic information, or any other status protected by applicable law.
We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request an accommodation.
What We Offer
We’re proud to offer a competitive rewards package that is meaningful, recognizes the unique needs of our employees and their families and incentivizes employees for their contribution to Nasdaq’s overall success.
In addition to base salary, Nasdaq offers significant other compensation (annual bonus/commissions and equity), benefits, and opportunity for growth. Exact compensation may vary based on several job-related factors that are unique to each candidate, including but not limited to: skill set, experience, education/training, business needs and market demands.
Nasdaq’s programs and rewards are intended to allow our employees to:
Secure Wealth: 401(k) program with 6% employer match, Employee Stock Purchase Program with 15% discount, Student loan repayment program up to $10k, Company paid life and disability plans, Generous paid time off
Prioritize Health: Comprehensive medical, dental and vision coverage, Health spending account with employer contribution, Paid flex days to support mental wel…
Title: Regulatory Surveillance Analyst
Company: Verafin
Location: Philadelphia, PA
Category:
