Analyst, Trade Monitoring and Oversight - Eagle Asset Management - Req. 1900460
The Trade Monitoring and Oversight Analyst role provides primary support and quality assurance to the equity trading desk. This role also provides a secondary layer of trading compliance support in conjunction with the Carillon Tower compliance group through their guidance and acceptance of new rules and guidelines impacting current and new accounts.
Essential Duties and Responsibilities:
• Reviews all new securities for proper coding into Trade Order Management System and Master File - Portfolio Accounting System.
• Monitors Eagle’s accounts to ensure that all accounts are being treated fairly in the allocation of securities and IPO’s. Prepares Trade Random Rotation and reviews trade aggregation.
• Performs Trade Ticket Review and Trade Error reports.
• Responds in support of employee personal trading requests.
• Prepares Soft Dollar and CSA Commission Recapture Reports.
• Coordinates with trading, compliance, operations and new accounts to reduce risk and eliminate errors.
• Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
Advanced knowledge of:
•Concepts, practices and procedures of securities industry compliance reviews.
•Fundamental investment concepts, practices and procedures used in the securities industry.
•Financial markets and products.
•Bloomberg AIM, MS work and Excel to create documents and spreadsheets.
•Integrating and aligning compliance processes and procedures with business processes.
•Coordinating complex compliance activities.
•Providing support and guidance for compliance efforts.
•Identifying and implementing controls and quality assurance processes.
•Gathering information and preparing oral and written reports.
•Investigating relevant irregularities.
•Making rule-based and analytical decisions.
•Operating standard office equipment and using required software applications.
•Partner with other functional areas to accomplish objectives.
•Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
•Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.
•Work independently as well as collaboratively within a team environment.
Educational/Previous Experience Requirements:
•Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of one (1) to two (2) years of experience in securities industry required.
•Any equivalent combination of experience, education, and/or training approved by Human Resources.
•Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
•Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.SA