Surveillance Team Lead
Duval County, FL – Hybrid
Hamlyn Williams has partnered with a one of the largest global asset managers, based in FL that are looking to hire a Surveillance Team Lead.
This role is on a hybrid basis two days per-week on site. If you are not able to work on site, please do not apply.
As a Surveillance Team Lead, you will:
- Lead the team responsible for the Compliance Surveillance function in the Americas region which includes the monitoring of institutional orders/trading, electronic communications, and employee trading
- Expert of current and upcoming regulations relating to Trade Surveillance including the ownership of control parameters designed to detect designated risk types including, but not limited to, insider trading, market abuse, and fair allocation of client orders
- Expert of current and upcoming regulations relating to Electronic Communications Surveillance including the ownership of lexicon policies designed to detect designated risk types including, but not limited to, insider trading, market abuse, and unauthorized communication channels
- Responsible for the documentation and submission of case results to internal stakeholders including determining whether findings must be escalated to relevant internal groups or external regulatory bodies
- Escalate current or emerging risks to Senior Compliance Management as required in a timely fashion
As a Surveillance Team Lead, you will need:
- B.S. Degree
- Experience in Surveillance, Audit, Compliance/Regulatory, Financial Services or Risk
- Demonstrated expertise with financial services regulations, including SEC and FINRA rules and regulations.
- FINRA Securities Industry Essentials (SIE) Exam or FINRA Series 7 (preferred)
- Must be a U.S. Citizen OR Greencard Holder
