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Surveillance Analyst
NASDAQ
Philadelphia County, PA, United States
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The NASDAQ surveillance department monitors compliance with rules and policies to assist Market Regulation in detecting potential violations of Securities and Exchange Commission (SEC) and exchange rules. The Department investigates matters and evaluates the need for disciplinary action. The Department’s main goal is to maintain an orderly marketplace and a level playing field for all markets participants including the general public.
Monitors real-time trading and reviews account transactions to ensure appropriateness. Reviews all aspects of orders, quotations and transactions, typically having a specific focus on potential market manipulation, transaction appropriateness, and rule compliance.
• Completes basic surveillance of real time trading and post trade analysis.
• Performs basic, preliminary surveillance of trading in specified company products, and specific order types.
• 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.
• Helps keep the markets fair, orderly, and efficient through implementation of a comprehensive web of regulatory surveillance scrutiny and action.
• Expertise with Microsoft Excel, proficiency with Word and PowerPoint
• Excellent oral and written communication skills
• Excellent conflict management and customer service skills
• Education Required: Degree in Business/Finance or related discipline, or equivalent work experience
• Experience Required: At least 1 year
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.