Risk Management Group - Trade Surveillance Analyst

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POST DATE 9/1/2016
END DATE 10/22/2016

Macquarie Jacksonville, FL

Jacksonville, FL
AJE Ref #
Job Classification
Full Time
Job Type
Company Ref #
Entry Level (0 - 2 years)


RECRUITER: Amy Hillard

Macquarie is currently seeking an Insider Trade Surveillance Analyst to focus on securities trade monitoring, surveillance and reporting to be located Macquarie's offices in Jacksonville, Florida. Full Time Role: Analyst/ Sr. Analyst Personal Account Dealing and Insider Trading Analyst Key Responsibilities:

* Daily monitoring of personal/employee trade activities, policy exceptions and resolutions

* Manage broker account request/cease letters regarding duplicate confirms and statements

* Respond to staff inquiries via phone and email

* Conduct insider trade surveillance for trading businesses

* Assist with teach-ins and new hire information packs and training

* Execute consequence management program, including responding to staff concerns

* Assist with management reporting

* Medium term to train and mentor admin staff / offshore team to:

* Review and entry of statement trade data

* administration personal trade platform

* Maintain employee account and trading records

* Assist in other compliance tasks as required to ensure team objectives are achieved

Skills and Attributes:

* Solid understanding of US securities trading businesses and prior experience having performed a similar role in a Personal Account Dealing / Insider Trade Surveillance functions

* Sound interpersonal skills and relationship building abilities with all levels of seniority within the business, maturity to navigate front-office discussions regarding personal dealing escalations

* Integrity and sensitivity in communications with employees regarding personal financial information

* Ability to work through tasks systematically and monitor own work to ensure consistency and timeliness

* Ability to learn and understand applicable regulatory rules and regulations and industry best practices

* Ability and strong desire to work as part of an effective and collaborative team

* High level of engagement and participation in discussion about compliance policy and strategy

* Attention to detail and a team player

* Preferred candidate would have a US Series 7 qualification (or held one in the past)

* Effective written communication skills for report writing and analysis

* Strong Microsoft Office skills Access, Excel, Word and Outlook

ADVERTISED: 30 Aug 2016 Eastern Daylight Time

All qualified applicants will receive consideration for employment and will not be discriminated against on the basis of race, color, religion, sex, sexual orientation, national origin, age, disability, or protected veteran status. Macquarie takes affirmative action in support of its policy to hire and advance in employment individuals who are minorities, women, protected veterans, and individuals with disabilities