Monitoring Analyst – Series 7

Our client is seeking a Monitoring Analyst – Series 7 to monitor trading activity and identify suspicious transactions in a 24/7 broker-dealer and alternative trading systems environment. This role is critical to maintaining regulatory compliance and detecting potential market abuse or misconduct.

Responsibilities & Qualifications

• Monitor real-time trading activity across broker-dealer and ATS platforms to identify unusual or suspicious transactions
• Investigate trading alerts and escalate potential regulatory or compliance concerns to appropriate teams
• Document investigation findings and support compliance reporting requirements
• Maintain awareness of trading patterns and market activity to detect potential violations or anomalies
• Collaborate with compliance and trading teams to resolve identified issues
• Work assigned overnight shifts and weekend schedules in a 24/7 monitoring operation
• Stay current with regulatory updates and industry best practices in trade surveillance

Requirements

• FINRA Series 7 license (required; active and in good standing)
• 3–6 years of experience in trade surveillance, transaction monitoring, or broker-dealer compliance
• Demonstrated expertise in investigating trading alerts and identifying suspicious activity
• Strong knowledge of alternative trading systems (ATS) and electronic trading platforms
• Solid understanding of broker-dealer compliance regulations and reporting obligations
• Excellent attention to detail and ability to document findings clearly and accurately
• Ability to work independently during night shifts and weekend schedules with minimal supervision