Not specified; fair + equitable compensation offer...
Equities trade surveillance experience
Regulatory compliance analysis
Market manipulation pattern identification
The role involves managing correspondence, identifying risks, and escalating non-standard high-risk activities to protect organizational interests
Job Summary
The role involves managing correspondence, identifying risks, and escalating non-standard high-risk activities to protect organizational interests.
Candidates must analyze alerts and data to determine violations of laws, rules, regulations, and firm policies within the Equities market.
The position requires maintaining a culture of risk management while collaborating with front office teams, Technology, and Advisory Compliance partners.
Matching Summary
The role involves managing correspondence, identifying risks, and escalating non-standard high-risk activities to protect organizational interests.
Salary
Not specified; Fair and equitable compensation offered; Open dialogue encouraged with HR Team
Skills & Requirements
Must-have
Equities trade surveillance experience
Regulatory compliance analysis
Market manipulation pattern identification
Alert investigation and escalation
Risk management and control culture
Nice-to-have
Cross-functional stakeholder collaboration
Continuous process improvement mindset
Team coaching and training capabilities
Emerging regulatory trend awareness
Positive work environment promotion
Key Requirements
Undergraduate degree required
5+ years Equities/Options/Futures surveillance experience
Knowledge of US markets and regulations
FINRA Certified Compliance Officer Program preferred