AVP/VP – Control Room Surveillance 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

• 5+ years of experience in a Compliance, surveillance or other function that provided exposure to trading analysis, with at least one year working directly in a control room. 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