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General Counsel Consulting

General Counsel
Consulting
provided
exceptional
service in helping
my organization
recruit for a hard
to fill position.
They did extensive
work on the front
end to understand
our needs and
our culture and
began referring
highly qualified
candidates almost
immediately.

Melinda Burrows
Deputy General Counsel
- Litigation and
Compliance, Progress
Energy Service Company
LLC

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Counsel Jobs > Litigation/Attorney/In House/New York City, New York Job in New York > Litigation/Attorney/In House/New York City, New York

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Litigation/Attorney/In House/New York City, New York

Refer job# YMSD80396

Surveillance Investigator Duties: Responsible for initiating and conducting in depth investigations of potential violations of NYSE equities and options markets rules and federal securities laws identified through output from surveillance systems and monitoring tools, complaints and referrals. Initiate and conduct investigations to detect violations of exchange rules and federal securities laws based on a variety of generated alerts from surveillance systems. Correspond effectively with member firms to obtain and analyze relevant documentation. Assist and participate in informal and on-the-record interviews of members and their employees. Work closely with NYSE Regulation Enforcement and coordinate findings with Finra, SEC, and/or other SRO s. Document and prepare investigative memoranda with recommendations for the disposition of completed investigations. Investigate referrals from various business and operations units. Assist in the creation, development and review of relevant procedures. Assist in refining surveillance systems to ensure that alert output is meaningful and valid. Conceptualize new surveillances to address emerging trends and regulatory rules. Help analyze monitoring processes; recommend enhancements to reports to display trends, patterns and areas of risk. Qualifications: A Bachelor's degree with strong academic record and a post graduate degree is preferred (e.g. J.D. Degree, MBA). 5 years of experience in transaction surveillance, trade desk compliance, or investigations of violations of exchange rules and federal securities laws. Mature understanding of trading, market structure and securities laws. Experience working with SEC, Finra, and/or other SRO strongly preferred. Experience with trading technology preferred. Sound judgment; ability to communicate effectively with colleagues of all levels. Ability to work on and prioritize multiple tasks involving tight deadlines. Results oriented, ability to work in a fast paced environment with minimal supervision.

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