Job Responsibilities:

• You will develop and review surveillance tools and reports and conduct analysis of trading and related market activity and scale the program;
• You will create policies and procedures and workflow tools to enhance the Firm’s surveillance and control efforts trading;
• You will leverage vendor and internal technologies and automation to review electronic communications;
• In compliance with FINRA and SEC requirements, you will oversee the firms’ surveillance record keeping requirements;
• As part of the Compliance team, you will support risk assessments and regular testing to access the effectiveness of the firm’s policies and associated controls;
• You will collaborate across the legal, compliance and other corporate functions to assist in the development and rollout of leading compliance related technologies, controls, and processes;
• You will engage in a variety of firmwide compliance issues and interact with Senior Legal and Compliance professionals and regulators;
• You will engage in industry wide issues and assist in developing firm responses to new rules, trade flows and other initiatives.

Job Requirements:

• Minimum 3-5 years at a Financial Service firm, or regulator;
• Series 7 required. Series 24, 57 a plus;
• We work in a results driven environment. You must have the ability to multi-task in a highly demanding environment with the ability reprioritize and shift assignments as necessary;
• We work in a highly collaborative environment. Strong interpersonal skills are critical, along with an openness to different approaches and viewpoints;
• You must foster collegial and partnership-focused relationships across departments and skillsets, particularly with technology and legal professionals;
• You have excellent verbal, writing and presentation skills and can interact with stakeholders at all levels within the organization and with regulators;
• You have the ability to relay complex technical concepts to non-technical audience;
• Strong attention to detail is critical;
• You must possess high ethical standards, respect for confidentiality and privacy.