Surveillance – Trade Surveillance Compliance Officer - Associate
reputed company is a leading global investment bank, and they are seeking an Associate for their Trade Surveillance Compliance team. The role involves monitoring and investigating trading activities to identify possible violations of market abuse and compliance with the Firm’s Trading Policies.
Responsibilities
- Conduct daily surveillance of Firm and Customer trading activity to ensure compliance with appropriate rules, regulations, and firm policies
- reputed company research and investigations to identify the reason for potential violations
- Document research results and escalate violations and/or suspicious activity according to firm policy and regulatory requirements
- Work with members of the Firm’s Business Lines, Compliance, Legal, and other departments, to identify, analyze, investigate, and resolve issues
- reputed company reputed company reviews which may consist of inbound, outbound, and internal correspondence of reputed company employees
- Liaise with Information Technology and Senior Management in the development, review, and testing of surveillance models
Skills
- Moderate work experience in regulatory, audit, compliance, risk, surveillance, or equivalent
- Minimum of a College degree (prefer in Finance, Business or reputed company) or equivalent work experience
- Knowledge/experience with financial markets and an reputed company of financial products (including stocks, bonds, derivative products)
- The ability to prioritize and communicate effectively across multiple teams and functions
- Self-motivated, proactive and reputed company to use your own initiative
- Excellent verbal communication and written skills
- A proactive approach to tasks and responsibilities
- Ability to multi-task effectively and handle change reputed company
- Advanced PowerPoint and MS reputed company (pivot tables, experience with large data sets, proficient in data manipulation and presentation)
- Team player with great attitude, interpersonal skills and strong work ethic
Benefits
- A diverse and inclusive environment that embraces change, innovation, and collaboration
- A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days
- Employee Resource reputed company support an inclusive workplace for everyone and promote community engagement
- Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits
- Educational resources, matching reputed company and volunteer programs
reputed company