The Company Team is a specialized unit within Ethics and Compliance N.A and primarily responsible for reviews using existing surveillances, conducting in depth investigations on activity and patterns, and refining and building surveillances in accordance with and in anticipation of regulatory expectations and remediation plans. Specific responsibilities for this role may include:
- Conduct surveillance on electronic communications of business units in order to detect potential regulatory violations, identify suspicious activity and items requiring corrective action;
- Analyze activity detected, document findings and conduct investigations into potential issues;
- Communicate issues in a proactive manner and interact with Front Office Salespeople, Traders, Supervisors and Compliance Advisory staff as applicable;
- Raise matters of importance to Departmental Management for review and discussion and refer cases for the filing of Suspicious Activity Reports with USFS to the Financial Crimes Enforcement Network;
- Provide training and guidance to “Level 1” COMPANY team, which performs a first-pass review of alerts, to ensure quality and proper adherence to the Standard Operation Procedures;
- Assist with the development of surveillance controls and UAT of existing and new applications;
- Identify key metrics points and generate recurring reports to identify analyst and application efficiencies
- Conduct and assist with special investigations and projects;
- Assist with Internal Audit and ad hoc regulatory requests.
Minimum Required Qualifications:
- BA or BS Degree.
- 7 + years of experience with a financial services firm and/or self-regulatory organization in a compliance or regulatory related position
- Knowledge of market regulations, particularly those targeting market abuse and insider trading, including the rules and regulations of the SEC, CFTC and all exchanges and associations under such federal agencies, including FINRA, NYSE, CME, ICE US;
- Excellent interpersonal and communication skills, with the ability to interact effectively across regions and with various levels of management and stakeholders.
- Strong analytical and investigative skills.
- Exceptional organizational skills.
- Ability to manage, multi task, and handle multiple compliance assignments and ad-hoc projects at the same time and meet demanding deadlines.
- Knowledge of Company activities and organization.
- Prior experience performing surveillance of electronic communication
- Experience with statistics, data collection, querying and reporting to senior management.
- Experience with handling sensitive and confidential information
- Experience with coordination across various Compliance functions and stakeholders.
- Proficient skill set with MS Office Suite.
- Experience with E-comm surveillance applications such as RedOwl, Autonomy, Digital Reasoning, Actiance, Veritas, etc.
- Experience with trade surveillance and case management systems, such as NICE Actimize and SMARTS;
- Familiarity with market data and due diligence vendors, such as Bloomberg, Reuters, Worldcheck, Lexis, Edgar, etc.
- Languages skills: English, French, Portuguese, Spanish.
FINRA Registrations Required:
- Series 7 and 63 preferred