Compliance Surveillance Team Lead

3 months ago


Jacksonville, United States TBG | The Bachrach Group Full time

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)



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