Business Controls Group Analyst
Full Time • New York City
Business Controls Group ( "BCG”) – Temporary Analyst
This position is for a BCG Analyst for the client. BCG is responsible for the delegate supervisory oversight of the clients Sales & Trading and Equity Research operation, by designing, implementing, and reviewing a suite of surveillances to identify violations of regulatory rules or internal policies and procedures. BCG resides within the Business Unit and partners with Supervisors to act as the first line of defense.
When potentially anomalous behavior is detected, the BCG Analyst is responsible for escalating the activity and working collaboratively with partners across the clients to determine the appropriate resolution for the matter. The BCG Analyst would utilize a variety of surveillance tools to analyze trading activity, e-communications, employee trading and operational risk.
Responsibilities
This position is for a BCG Analyst for the client. BCG is responsible for the delegate supervisory oversight of the clients Sales & Trading and Equity Research operation, by designing, implementing, and reviewing a suite of surveillances to identify violations of regulatory rules or internal policies and procedures. BCG resides within the Business Unit and partners with Supervisors to act as the first line of defense.
When potentially anomalous behavior is detected, the BCG Analyst is responsible for escalating the activity and working collaboratively with partners across the clients to determine the appropriate resolution for the matter. The BCG Analyst would utilize a variety of surveillance tools to analyze trading activity, e-communications, employee trading and operational risk.
Responsibilities
- Analyze trading activity
- Perform, develop, and maintain surveillance reviews
- Identify potential risks for the Firm and escalate the matter to a designated manager
- Generate ad-hoc reports, perform data analysis, and provide direction to Business Unit personnel, where appropriate
- Support aspects of planning and executing projects to assist the Firm in complying with regulatory requirements
- Additional responsibilities, as assigned
- Appropriately assess and escalate risk when business decisions are made, demonstrating particular consideration to safeguarding the clients, reputation, and regulatory footprint
- Participate in ad-hoc requests, special projects and regulatory exams directed by management, compliance or legal departments
Qualifications
- Knowledge of broker-dealer related SEC and Client rules
- A strong understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects
- Trading floor experience (trade support, controls/compliance)
- Series 7, 55, 63, 24, 4 preferred
- Ability to review and analyze supervisory trade surveillance reports
- Understanding of trading systems, Client CAT, Client Gateway
- Excellent research and analytical skills
- Excellent written and verbal communication skills
- Self-starter, flexible, innovative and adaptive
- Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
- Ability to navigate a complex organization by working collaboratively with regional and global partners in other functional units
- Willingness to work in a fast paced environment with a positive attitude
- Proficiency in MS Office applications (Excel, Word, PowerPoint)
Education
- Bachelor's degree; experience in a financial services firm, regulatory organization, or a combination thereof
Compensation: $30.00 - $40.00 per hour
Who We Are
High Bridge is a bottom-up consulting firm with more than two decades of experience creating innovative solutions for the technology industry.
- • We connect thoughtfully curated talent with reputable employers in our field.
- • We partner with like-minded companies to bolster mutual success and understanding.
- • We deliver results through strategic planning and meticulous project management.
At High Bridge, we believe that success is a measure of results and process, product and person. We are proud to bring integrity and humanity to the work that we do each day. Whether we’re interviewing prospective associates, brainstorming with partners, or troubleshooting with vendors, we pledge our commitment to honesty, transparency, and good humor at every junction.
Careers
Are you passionate about technology? Do you believe in no finish lines? Are people and process the heel in your stride? High Bridge Consulting may be the next journey for you.
Here at High Bridge, our island is technology, but our village is human. We value a culture of authenticity, integrity, and creativity. We work smart, not hard, we look forward, not backward, and we love coming to work on Monday.
If you aren’t afraid of heights, join us on our bridge.
(if you already have a resume on Indeed)