Surveillance Analyst

Who We Are:
The Ocean Data Surveillance team contractually manages customer trade alerts, investigates trade anomalies, provides weekly and/or monthly statistics to business management and external customers, continually assess system control design effectiveness. Ocean’s U.S. broker dealer and Alternative Trading System customers rely on the team to conduct reviews which identify potentially abusive trading behavior as required under U.S. regulation.

Job Responsibilities

Typical job responsibilities will include:

• Analyzing orders and trading activity based on real time-alerts and other generated alerts
• Monitoring markets to detect anomalies, review electronically generated alerts, and address market participant inquires
• Advising management and employees of market surveillance observations and obligations
• Preparing written reports and analyses for management
• Interacting with customers on market surveillance issues
• Coordinating efforts related to audits, reviews, and examinations
• Establishing remediation processes for identified regulatory issues
• Administering annual training program for the staff.
• Working in collaboration with the Office of General Counsel to strengthen market surveillance programs
• Undertaking regulatory technology and other regulatory projects
• Evaluating and updating surveillance systems design controls
• Assisting with preparation, creation, and development of review procedures

Job Qualifications

• Knowledge of U.S. equities markets and basic trading strategies
• Ability to work and thrive in a fast-paced legal and business culture during U.S. business hours
• Excellent written and verbal communication skills and a fine attention to detail
• Analytical problem-solving experience
• A high level of professionalism and outstanding business judgment.
• Minimum 2 years relevant work experience

Education

• Degree in Business/Finance or related discipline, or equivalent work experience

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.