Virtu is a leading financial firm that leverages cutting edge technology to deliver liquidity to the global markets and innovative, transparent trading solutions to our clients. As a market maker, Virtu provides deep liquidity that helps to create more efficient markets around the world. Our market structure expertise, broad diversification, and execution technology enables us to provide competitive bids and offers in over 19,000 securities, at over 235 venues, in 36 countries worldwide.
The Virtu Legal and Compliance team is looking for an experienced, self-driven Compliance Surveillance Analyst to join the team. The Compliance Surveillance Analyst will play an important role in shaping Virtu's Compliance function through innovation, analytical thinking and a desire to improve upon existing processes. This role will require the ability to analyze order and trade information in the context of other market activity. The ideal candidate for this position will also have an interest and ability to work across several Compliance areas, manage multiple deadlines and interact with internal and external stakeholders.
The Compliance Surveillance Analyst works closely with business functions to provide advice, conduct surveillances, investigate issues and develop sustainable corrective actions. A successful candidate will be a person who identifies issues and creates solutions without rigid direction or fanfare. The candidate will be a highly motivated and tenacious individual, with a proven ability to take initiative, working both independently and within a team.
Responsibilities
- Develop and perform surveillance and supervisory reviews across multiple subject matters.
- Coordinate and work with our inquiry team on related inquiries.
- Drive compliance innovation initiatives with a focus on greater automation, increased efficiency, and trend analysis.
- Coordinate with trading teams, technology, and other relevant stakeholders across the organization to escalate and remediate issues identified through the course of surveillance reviews.
Experience & Qualifications
- Bachelor’s Degree or Commensurate Experience preferred however will consider other relevant experience.
- 2-6 years of experience with a financial services firm, Fin-Tech, regulator or commensurate experience.
- Strong working knowledge of broker-dealer regulation, including securities and commodities laws and SEC, CFTC, and SRO Rules.
- Experience analyzing trading activity across a variety of asset classes, such as equities, options, fixed income, currency, commodities, futures, fx, swaps, forwards, and cryptocurrencies.
- Strong communication and interpersonal skills.
- Self-starter and team player who is comfortable working in a fast-paced environment and a relatively flat organization.
- Familiarity with SQL, Python, or similar query and scripting languages is a plus.
**Note the above qualifications are meant as a guideline and aren’t minimum qualifications. We would love to hear from you regardless of whether you have all the experiences listed!**
Salary Range: $125,000 - $175,000 (salary range is exclusive of bonuses, benefits or other categories of compensation)
Virtu Financial is an equal opportunity employer, committed to a diverse and inclusive workplace, welcoming you for who you are and does not discriminate on the basis of race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status.
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What We Do
Virtu is a leading financial firm that leverages cutting edge technology to deliver liquidity to the global markets and innovative, transparent trading solutions to our clients. We combine our market structure expertise and execution technology to provide deep liquidity and competitive bids and offers in over 19,000 securities, at over 235 venues in 36 countries and unrivaled execution technology to our clients, while creating more efficient and stable markets worldwide. We strongly believe that transparency enables market participants to make better, more informed decisions while making markets more efficient. We strictly adhere to our core set of client values with each and every trade: Transparency, Reliability & Virtue.
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