AVP – Surveillance/Compliance recruitment
The primary function is to conduct surveillance against Employee, Customer and Proprietary Accounts to detect potential insider trading, market abuse, and/or violations of the Firm’s Trading Policies, as well as project-based work.
- Conduct daily surveillance of Proprietary, Customer and Employee’s trading activities to ensure compliance with the Firm’s Watch Restricted Lists, Front-running and Insider Trading policies.
- Perform research and investigations to identify the reason for potential violations.
- Document research results and escalate violations and/or suspicious activity according to firm policy and regulatory requirements.
- Liaise with the Control Room and Compliance Information Technology in the development, review, and testing of new automated surveillance models.
- Monitor changes in securities regulations and industry technology to design and implement various policies and procedures.
- Review and update the Surveillance and Employee Trading Group’s Key Operating Procedures.
- Direct various Employee Trading Group projects development from beginning to end.
- Conduct ad-hoc Surveillance and Employee Trading Projects.
- Effectively communicate project expectations to team members and stakeholders in a timely and clear fashion.
- Identify and resolve issues and conflicts within the project team.
- Manage multiple, deadline-oriented tasks in a fast-pace environment.
Requirements
3-6 years of experience in a Compliance, surveillance or other function that provided exposure to trading analysis. Use of Actimize a plus.
• Strong communicator, comfortable in presenting and explaining analysis.
• Control Room experience is strongly preferred, or at least a very strong understanding of control room operations.
• Must be detailed oriented, interest in the markets, current events, and financial news.
• Knowledge/experience with array of financial products (including stocks, bonds, equity/credit derivatives).
• Advanced MS Excel and PowerPoint skills (pivot tables, experience with large data sets, proficient in data manipulation and presentation).
• Team player with great attitude and work ethic and a strong attention to details.
Ability to multi-task on several different assignments/projects, works well under pressure and meet deadlines