Compliance Surveillance Team Lead
3 months ago
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)
-
Compliance Surveillance Team Lead
2 weeks ago
Jacksonville, Florida, United States TBG | The Bachrach Group Full timeJob Title: Compliance Surveillance Team LeadOur client, a leading asset management firm, is seeking a seasoned professional to lead their trade and communication surveillance team. As a key member of the compliance team, you will be responsible for identifying and mitigating risks associated with trading, employee trading, and electronic communications.Key...
-
Compliance Surveillance Team Lead
1 month ago
Jacksonville, Florida, United States TBG | The Bachrach Group Full timeJob Title: Compliance Surveillance Team LeadOur client, a leading asset management firm, is seeking a seasoned professional to lead their trade and communication surveillance team. As a key member of the compliance team, you will be responsible for identifying and mitigating risks associated with trading, employee trading, and electronic communications.Key...
-
Compliance Surveillance Team Lead
2 weeks ago
Jacksonville, Florida, United States TBG | The Bachrach Group Full timeCompliance Surveillance Team LeadOur client, a leading asset management firm, is seeking a team lead for their trade and communication surveillance team. As a key member of the team, you will be responsible for identifying and mitigating risks associated with trading, employee trading, and electronic communications.Key Responsibilities:Lead a small team of...
-
Compliance Surveillance Team Lead
2 months ago
jacksonville, United States TBG | The Bachrach Group Full timeOur 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 includingLeading a small teamDemonstrating subject matter expertise of key regulations relating to trade surveillance...
-
Compliance Surveillance Team Lead
4 months ago
Jacksonville, United States TBG | The Bachrach Group Full timeOur 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 includingLeading a small teamDemonstrating subject matter expertise of key regulations relating to trade surveillance...
-
Compliance Surveillance Team Lead
4 weeks ago
Jacksonville, United States TBG | The Bachrach Group Full timeOur 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 includingLeading a small teamDemonstrating subject matter expertise of key regulations relating to trade surveillance...
-
Surveillance Team Lead
2 weeks ago
Jacksonville, United States Deutsche Bank Full timeJob Description: Employer: DWS Group Title: Surveillance Team Lead Location: Jacksonville, FL Job Code: #LI-LV2 #LI-02 About DWS: Today, markets face a whole new set of pressures - but also a whole lot of opportunity too. Opportunity to innovate differently. Opportunity to invest responsibly. And opportunity to make change. Join us at DWS, and you can be...
-
Surveillance Team Lead
4 weeks ago
Jacksonville, Florida, United States Deutsche Bank Full timeJob Title: Surveillance Team Lead About the Role: We are seeking a highly skilled Surveillance Team Lead to join our team at DWS. As a Surveillance Team Lead, you will be responsible for leading the Compliance Surveillance function in the Americas region, including the monitoring of institutional orders/trading, electronic communications, and employee...
-
Surveillance Lead
4 weeks ago
Jacksonville, Florida, United States Robert Walters Full timeJob Title: Surveillance LeadRobert Walters is seeking a Surveillance Lead to join our team in Jacksonville, FL. As a Surveillance Lead, you will be responsible for performing investigations of alerts and reviewing business submissions to ensure compliance with regulatory requirements.Key Responsibilities:Investigate alerts and review business submissions to...
-
Surveillance Team Lead
1 month ago
Jacksonville, Florida, United States Deutsche Bank Full timeJob Title: Surveillance Team Lead About the Role: We are seeking a highly skilled Surveillance Team Lead to join our team at DWS. As a Surveillance Team Lead, you will be responsible for leading the Compliance Surveillance function in the Americas region, including the monitoring of institutional orders/trading, electronic communications, and employee...
-
Surveillance Lead
1 week ago
Jacksonville, Florida, United States Deutsche Bank Full timeJob Title: Surveillance LeadJob Summary:We are seeking a highly skilled Surveillance Lead to join our team at Deutsche Bank. As a Surveillance Lead, you will be responsible for performing investigations of alerts and reviewing business submissions to ensure compliance with regulatory requirements.Key Responsibilities:* Perform investigations of alerts and...
-
Compliance Surveillance Director
4 days ago
Jacksonville, Florida, United States Deutsche Bank Full timeDeutsche Bank is seeking a seasoned Compliance Surveillance Director for the Americas region to lead our team in monitoring institutional orders/trading, electronic communications, and employee trading. As a key member of our Compliance function, you will be responsible for maintaining the highest standards of regulatory compliance and ensuring our business...
-
Surveillance Lead
2 weeks ago
Jacksonville, Florida, United States Robert Walters Full timeJob Title: Surveillance LeadJob SummaryWe are seeking a highly skilled Surveillance Lead to join our team in Jacksonville, FL. As a Surveillance Lead, you will be responsible for performing investigations of alerts, reviewing business submissions, and escalating to other control functions per defined process.Key ResponsibilitiesConduct thorough...
-
Surveillance Lead
2 weeks ago
Jacksonville, Florida, United States Robert Walters Full timeJob Title: Surveillance LeadJob SummaryWe are seeking a Surveillance Lead to join our team in Jacksonville, FL. As a key member of our External Monitoring Group, you will be responsible for performing investigations of alerts, reviewing business submissions, and escalating to other control functions as defined by process.Key ResponsibilitiesConduct in-depth...
-
AML Compliance Team Lead
5 days ago
Jacksonville, Florida, United States Robert Walters Full timeJob Title: AML Compliance Team LeadJob Summary:We are seeking an experienced AML Compliance Team Lead to join our team at Robert Walters. As a key member of our compliance team, you will be responsible for managing the Anti-Money Laundering Program, including oversight of the New Client Adoption (NCA), Know Your Customer (KYC), new transactions and products...
-
SIU Claims Investigator
1 week ago
Jacksonville, Florida, United States Advantage Surveillance LLC Full timeJob DescriptionAt Advantage Surveillance & Investigations, we're seeking a skilled Part Time SIU Claims Investigator to join our Operations Team in the Jacksonville, FL area. As a key member of our team, you'll be responsible for conducting thorough investigations of auto, property, homeowner liability, and worker's compensation insurance claims to support...
-
Team Lead
3 weeks ago
Jacksonville, Florida, United States Walmart Full timeJob SummaryWe are seeking a highly skilled and experienced Team Lead to join our team at Sam's Club. As a Team Lead, you will be responsible for leading a team of associates in providing exceptional customer service and ensuring the smooth operation of our store.Key ResponsibilitiesLead and manage a team of associates to achieve sales and customer service...
-
Team Lead
1 month ago
Jacksonville, Arkansas, United States Sam's Club Full timeJob SummaryWe are seeking a highly skilled and experienced Team Lead to join our team at Sam's Club. As a Team Lead, you will be responsible for leading a team of associates in providing exceptional customer service and ensuring a positive shopping experience for our members.Key ResponsibilitiesLead a team of associates in providing customer service and...
-
Team Lead
3 weeks ago
Jacksonville, Florida, United States Walmart Full timeJob SummaryWe are seeking a highly skilled and experienced Team Lead to join our team at Sam's Club. As a Team Lead, you will be responsible for leading a team of associates in providing exceptional customer service and ensuring a positive shopping experience for our members.Key ResponsibilitiesLead a team of associates in providing customer service and...
-
Team Lead
3 weeks ago
Jacksonville, Florida, United States Walmart Full timeJob SummaryWe are seeking a highly skilled and experienced Team Lead to join our team at Sam's Club. As a Team Lead, you will be responsible for leading a team of associates in providing exceptional customer service and ensuring the smooth operation of our store.Key ResponsibilitiesLead a team of associates in providing customer service and resolving member...