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The Regulatory Surveillance team is responsible for designing, implementing, and overseeing surveillance systems to detect behaviors that may violate regulatory rules or internal policies and procedures. The ideal candidate will have a solid understanding of compliance laws, rules, regulations, risks, and typologies.
Main Responsibilities:
- Reviewing and analyzing surveillance alerts and/or reports relating to firm, employee, and client trading activity.
- Gathering and analyzing trade data to assist in the Firm's response to inquiries received from governmental and exchange regulatory bodies.
- Supporting the compliance group in evaluating surveillance results for potential problems, communicating surveillance findings to management in a clear and concise manner, and interacting with legal and other compliance personnel.
- Participating in bespoke projects in conjunction with other local and Global surveillance teams.
Key Requirements:
- 2+ years within a Compliance/Risk/Control function.
- Strong analytical and problem-solving skills.
- Excellent written and verbal communication skills.
- Ability to work collaboratively and with people at all levels of the organization.
- Proficient in English (read, write, speaking).
- PQO Certification.
Preferred Qualifications:
- Experience in Equities, Foreign Exchange (FX), Credit, Rates, or Commodities markets gained in a trading or operations capacity.
- Strong knowledge of trade lifecycles/trade flows.
- Previous investigative experience.
- Advanced degree (e.g. JD, MBA) and Spanish a plus.
Education:
- Bachelor's degree;
- Experience in Compliance, Legal, or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof.
