Trade Surveillance Associate

The Trade Surveillance Associate monitors assigned products and markets in conducting surveillance of order and trade activities of the firm, identifying potential violations of Federal Securities Laws (e.g., market and price manipulation), regulatory violations and other positions or activity that could adversely affect Hold Brothers Capital. The associate conducts routine review and investigations of unusual market activity for evidence of violations of applicable federal securities laws, FINRA. Analysts are provided with tools & information sources that display manipulation & analysis of data related to trading activity, position maintenance & news. They work closely with experienced staff & develop the capacity to conduct high quality routine surveillance & investigations with minimal supervision.

Principal Accountabilities:

• Communicate surveillance analyses and findings to department management and to other members of...