Our client is a leading asset management firm. We are seeking a team lead for their trade and communication surveillance team. You will be responsible for risk associated with trading, employee trading and email.
Additional responsibilities including
Leading a small team
Demonstrating subject matter expertise of key regulations relating to trade surveillance and electronic communications
Manage implementation of surveillance vendor solutions as needed
Conduct annual risk assessments risk types are monitored per regulatory requirements and best practices
Contribute to projects and change initiatives as required
Escalate current or emerging risks to Senior Compliance Management as required in a timely fashion
Requirements
Advanced degree (Accounting, Business, Economics or Finance preferred) or equivalent work experience
Experience in Surveillance, Audit, Compliance/Regulatory, Financial Services or Risk
Demonstrated expertise with SEC and FINRA rules and regulations.
Strong knowledge of securities products and asset classes
Strong analytical skills, sound judgment, and strong attention to detail
Strong Microsoft Office skills (specifically Excel and PowerPoint)
Ability to exercise independent, and informed judgment
Outstanding written and verbal communication skills, with demonstrated ability to think analytically and strategically to solve problems and implement solutions
Able to meet deadlines and handle multiple matters simultaneously
Ability to collaborate with senior stakeholders and global colleagues across control functions and with the Business on key initiatives
Previous relevant experience in the implementation of vendor solutions (preferred)