Trade Surveillance Business Analyst in Charlotte, NC at Signature Consultants

Date Posted: 7/30/2020

Job Snapshot

Job Description

Trade Surveillance Business Analyst Summary:

Signature Consultants is seeking a Trade Surveillance Business Analyst for an opportunity with a client in Charlotte, North Carolina. Key factors for success include conducting independent regulatory research, preparing written analysis of regulations, understanding policies, and focusing on industry best practices.


  • Supports the Fixed Income, Equity, Municipal, Futures, and Swaps businesses
  • Provides technology, policy/procedures, surveillance, testing, trending analysis, and management support
  • Identifying, analyzing, and performing trade surveillance
  • Strong focus on using surveillance tools to assign and close alerts.
  • Executing trade surveillance and assuring that all controls that comprise the compliance program are properly maintained and reported in a timely manner.
  • Understanding the transfer of security data between systems and the upstream and downstream impacts


  • Fixed income/Equity/Muni mostly
  • Swap Dealer/FCM Space
  • Surveillance and Monitoring
  • Monitor Broker Activity between broker dealer and bank
  • Acctimize is main tool-surveillance modules
  • Catalyst/Calypso/FACS/Broadridge

About Signature Consultants, LLC

Headquartered in Fort Lauderdale, Florida, Signature Consultants was established in 1997 with a singular focus: to provide clients and consultants with superior staffing solutions. For the ninth consecutive year, Signature was voted as one of the "Best Staffing Firms to Work For" and is now the 14th largest IT staffing firm in the United States (source: Staffing Industry Analysts). With 28 locations throughout North America, Signature annually deploys thousands of consultants to support, run, and manage their clients' technology needs. Signature offers IT staffing, consulting, managed solutions, and direct placement services. For more information on the company, please visit Signature Consultants is the parent company to Hunter Hollis and Madison Gunn.