Trade Surveillance Associate

Vision Financial Markets LLC

Department: AML

Location: This is an in-person position working from Stamford, CT.

Why Vision?

Vision Financial Markets LLC (“Vision”) is registered with the Securities and Exchange Commission (“SEC”) as a self-clearing securities broker-dealer, which provides clearing and settlement, execution services and custody. Vision is a clearing participant of the Depository Trust company and the Options Clearing Corporation. Vision provides full clearing and order-entry technology and support.

- We are a well-capitalized, growing clearing broker/dealer.

- Work with and learn directly from senior management.

- Work with a highly motivated team offering top technical knowledge and strong personal customer service.

- Grow professionally and build key relationships in the broker/dealer community.

Duties/Responsibilities

Daily trade surveillance reviews of equity and options trading. Identifying potential violations of Securities Laws (market and price manipulation). Analyze transactional data and document findings. Assist with preparation of regulatory responses.

Required Skills/Abilities

• Strong PC skills

• Comfortable engaging with all levels of management

• Strong critical thinking and decision-making skills

• Strong data analysis skills

• Ability to multi-task and prioritize

Education and Experience

• College Degree required

• FINRA Series 7 required, additional FINRA licenses preferred

• 3 – 5 years Trade Surveillance experience required. Knowledge of Trillium Surveyor preferred.

• Knowledge of order management systems (Sterling Trader, Trafix, DasTrader, etc.) preferred

To apply please email John Karafa at jkarafa@vfmarkets.com.