INTERNSHIP - Trade Surveillance (Chicago)
Chicago (Cook)
Job description
Environment
DEPARTMENT DESCRIPTION: US Capital Market Trade Surveillance is responsible for the monitoring of trading activity to for Compliance with applicable rules and regulations. The team's primary responsibilities include:
· The development, implementation, review and escalation of alerts across business units;
· The assessment of new business initiatives and regulations and their potential impact to the surveillance program;
· The performance of quality assurance reviews and reasonability testing of controls to ensure effectiveness and efficiencies;
· Management metrics and reporting; and
· The participation in global surveillance initiatives.
Mission
PRIMARY ACCOUNTABILITIES
Day to day responsibilities include but not limited to:
· The review of daily surveillance alerts
· Assist with the development and testing of new surveillance scenarios and the implementation of surveillance minimum standards
· Assist with the analysis/review of new and/or amended regulations to determine their impact to the firm's surveillance program
· Assist with management metrics and report
Desired profile
Profile
COMPETENCIES
· Computer skills
· Writing aptitude
· Effective Communicator
· Detailed Oriented
· Team Player
· General researching experience
· Desire Financial Service firm experience