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VP, Surveillance Compliance Officer

1 month ago

New York, United States Partnership Employment Full time

Bank is looking to hire a VP, Surveillance Compliance Officer covering employee surveillance.


Responsibilities will include:

  • Assist with e-communications review and surveillance to detect any Compliance policy breaches
  • Serve as lead Compliance Officer responsible for the oversight and monitoring of personal and related trading accounts maintained by employees.
  • Serve as lead Compliance Officer responsible for reviewing and approving, employee outside business activities and private investments requests.
  • Provide employees Compliance guidance relevant to policies and regulatory requirements on personal account trading, private investments, and outside business activities.
  • Conduct daily surveillance of employee personal account trading, outside business activities and private investments. Daily responsibilities would include, evaluating exceptions, raising breaches, preparing management reportingly, liaising with broker dealers maintaining accounts for employees and administering the annual compliance certification.
  • Collaborate with regional and global colleagues across departments to design and implement program enhancements, review new or amended Industry regulations and best practices.