Senior Securities Analyst II

NFA is purpose-driven. We safeguard the integrity of the derivatives markets, protect investors and ensure that our Members meet their regulatory obligations. We take pride in our work; maintain a conviction to do the right thing; empower each other; and support our community. Envision your career in a place where performing critical regulatory work within the financial industry is as significant as the diverse, passionate and talented individuals with whom you work.

When you join NFA as a Senior Securities Analyst, Market Regulation, you will utilize your analytical and problem-solving skills to support NFA's Market Regulation program. By conducting detailed trade analysis and market surveillance (primarily for security-based (SB) swaps), you'll be responsible for assisting swap execution facilities (SEF) in meeting their self-regulatory responsibilities to monitor trading on their own platforms.

Bring your curiosity and critical thinking skills. Bring your thirst for knowledge and learning. Bring a healthy skepticism and an eye for detail.

What you'll do:

You'll join a high-performing team of dedicated problem solvers who conduct detailed trade analysis and market surveillance on behalf of SEFs who contract with NFA for these services. Specifically, your responsibilities will include:

• Reviewing trade activity related to trade exceptions and alerts triggered by surveillance systems.

• Conducting SEF pricing analysis.

• Documenting findings and preparing requests for information for firms, if necessary.

• Reviewing staff analysis and ensuring daily work and investigations are progressing in a timely manner.

• Reviewing price distortions and, where possible, disruptions of delivery or cash settlement processes.

• Utilizing outside quote vendors and market data to monitor various market situations.

• Reviewing basis relationships between SBSEF products and corresponding markets.

• Surveilling off-SBSEF block trades to ensure they are executed in conformity with exchange rules and SEC regulations.

• Ensuring trade cancellations are conducted in accordance with SEC regulations and exchange rules.

• Leading monthly meetings with exchanges and communicating with exchange and clearing firm staff.

What we’re looking for:

Detail-oriented, driven individuals thrive in this collaborative, analytical role. We value diverse perspectives and are looking for motivated applicants with a broad range of backgrounds and experiences. If you're eager to apply your problem-solving abilities to serve a public good—supporting the integrity of the derivatives markets—and meet the qualifications below, we encourage you to apply to join our Market Regulation department as a Senior Securities Analyst.

• Bachelor’s degree in a relevant field or equivalent work experience within the financial services industry

• Minimum of five years of experience in trade surveillance, regulation, compliance, analytics or a closely related field

• Prior experience with or development proficiency in technologies such as Python, C++, Java, C#, SQL, and Excel (including VBA)

• Hands-on experience with SB swaps and off-SBSEF block trades

• In-depth knowledge of SBSEF rules, SEC regulations and market regulation surveillance systems

• Demonstrated leadership skills with the ability to be proactive and foster a collaborative environment

The salary range for this position is $88,400-$147,400.00 

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status.

Requisition ID:680