Our client is a leading asset management firm. We are seeking a team lead for their trade and communication surveillance team. You will be responsible for risk associated with trading, employee trading and email.
Additional responsibilities including
- Leading a small team
- Demonstrating subject matter expertise of key regulations relating to trade surveillance and electronic communications
- Manage implementation of surveillance vendor solutions as needed
- Conduct annual risk assessments risk types are monitored per regulatory requirements and best practices
- Contribute to projects and change initiatives as required
- Escalate current or emerging risks to Senior Compliance Management as required in a timely fashion
Requirements
- Advanced degree (Accounting, Business, Economics or Finance preferred) or equivalent work experience
- Experience in Surveillance, Audit, Compliance/Regulatory, Financial Services or Risk
- Demonstrated expertise with SEC and FINRA rules and regulations.
- Strong knowledge of securities products and asset classes
- Strong analytical skills, sound judgment, and strong attention to detail
- Strong Microsoft Office skills (specifically Excel and PowerPoint)
- Ability to exercise independent, and informed judgment
- Outstanding written and verbal communication skills, with demonstrated ability to think analytically and strategically to solve problems and implement solutions
- Able to meet deadlines and handle multiple matters simultaneously
- Ability to collaborate with senior stakeholders and global colleagues across control functions and with the Business on key initiatives
- Previous relevant experience in the implementation of vendor solutions (preferred)
