Director of Trade Surveillance

4 weeks ago

New York, United States Mindlance Full time

Title: Business Execution Consultant 5 (Director of Trade Surveillance)

Location: New York, NY

Term: 12+ months (Extension / Hire)


Responsibilities:

Perform Global delivery of strategic FLOD surveillance, monitoring platform and tools

Establish a robust surveillance framework through implementation of a trade surveillance platform, system controls and escalation framework

Review market making and Automated Client execution activity, to assess monitoring requirements

Manage relationships with front office, Implementation team and technology team and data deliverables for Transaction monitoring

Provide Market Integrity training to BAU monitoring teams and business Supervisors (e.g. Sales and Trading Desk heads)

Define requirements and Design next generation surveillance models that can be used by first line

Create Procedures and System Controls to ensure sustainable controls are documented in line with risk Management Framework

Engage with SMEs and managers at all levels and across multiple lines of business/support functions and serve as an experienced advisor to leadership

Lead team meetings or steering committees to facilitate decision making and ensure implementation of recommendations and plans including long term, sustainable, highly complex and unique business challenges

Provide vision, direction, and expertise to senior leadership for implementing innovative and significant business solutions that are scalable, global and cross organizational


Qualifications:

7+ years of risk management, business controls, quality assurance, business operations, compliance, or process experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

An SME with strong background to CIB Markets, excellent technical skills and good track record of delivering platform/application delivery.

Significant experience delivering Trading platforms and controls for large investment banks

In depth experience in Regulatory Change including, but not limited to, Trade Surveillance & Business controls for MAR (Market Abuse Regulation) and MiFID (Markets in Financial Instruments Directive)

Significant experience with trade surveillance monitoring systems, model development, design and calibration including deep understanding of model design and calibration processes

Experience of working on trading floor in a trading, business manager or e-Trading analyst capacity

Advanced experience in FLOD IT Project and Product Management of large-scale global projects

Experience in Algo trading or equivalent experience building Algo transaction monitoring models

Advanced quantitative and data analytical skills, with experience in analytics and database tools (e.g. SQL, R, Python)


EEO:


“Mindlance is an Equal Opportunity Employer and does not discriminate in employment on the basis of – Minority/Gender/Disability/Religion/LGBTQI/Age/Veterans.”

  • Director of Trade Surveillance

    4 weeks ago

    New York, United States Mindlance Full time

    Title: Business Execution Consultant 5 (Director of Trade Surveillance)Location: New York, NYTerm: 12+ months (Extension / Hire)Responsibilities:Perform Global delivery of strategic FLOD surveillance, monitoring platform and toolsEstablish a robust surveillance framework through implementation of a trade surveillance platform, system controls and escalation...

  • Director of Trade Surveillance

    4 weeks ago

    new york city, United States Mindlance Full time

    Title: Business Execution Consultant 5 (Director of Trade Surveillance)Location: New York, NYTerm: 12+ months (Extension / Hire)Responsibilities:Perform Global delivery of strategic FLOD surveillance, monitoring platform and toolsEstablish a robust surveillance framework through implementation of a trade surveillance platform, system controls and escalation...

  • Project Director

    4 weeks ago

    New York, New York, United States Innova Solutions Full time

    Project Manager - Trade SurveillanceInnova Solutions is seeking a highly skilled Project Manager to lead our Trade Surveillance team.Key Responsibilities:Manage trade surveillance projects from initiation to deliveryDevelop and implement project plans, timelines, and budgetsCollaborate with cross-functional teams to ensure project successMonitor and report...

  • Quantitative Developer

    4 weeks ago

    New York, United States Next Ventures Full time

    I'm working with a leading consulting firm specializing in financial markets and technology, working closely with hedge funds and financial institutions to deliver innovative, high-performance solutions. Their focus is on providing cutting-edge quantitative and technical expertise to help clients navigate complex trading environments, particularly around...

  • Quantitative Developer

    4 weeks ago

    New York, United States Next Ventures Full time

    I'm working with a leading consulting firm specializing in financial markets and technology, working closely with hedge funds and financial institutions to deliver innovative, high-performance solutions. Their focus is on providing cutting-edge quantitative and technical expertise to help clients navigate complex trading environments, particularly around...

  • Compliance Officer

    4 weeks ago

    New York, New York, United States Jefferies Financial Group Full time

    Job Title: AVP, Compliance OfficerJefferies Financial Group Inc. is seeking a highly skilled AVP, Compliance Officer to join our team. As a key member of our Compliance department, you will be responsible for ensuring the effective operation of our trade surveillance systems and processes.Key Responsibilities:Act as a US point of contact for the firm's trade...

  • Trade Surveillance Project Manager

    5 days ago

    New York, New York, United States Innova Solutions Full time

    Job Title: Trade Surveillance Project ManagerInnova Solutions is seeking a highly skilled Trade Surveillance Project Manager to join our team. As a Trade Surveillance Project Manager, you will be responsible for leading the implementation of strategic trade surveillance monitoring platforms and tools globally.Key Responsibilities:Establish a robust...

  • Project Manager

    4 weeks ago

    New York, New York, United States Innova Solutions Full time

    Job Title: Project Manager - Trade SurveillanceWe are seeking an experienced Project Manager to lead our Trade Surveillance project. The successful candidate will have a strong background in risk management, business controls, and compliance.Key Responsibilities:Perform global delivery of strategic FLOD surveillance monitoring platform and toolsEstablish a...

  • Quantitative Developer

    4 weeks ago

    new york city, United States Next Ventures Full time

    I'm working with a leading consulting firm specializing in financial markets and technology, working closely with hedge funds and financial institutions to deliver innovative, high-performance solutions. Their focus is on providing cutting-edge quantitative and technical expertise to help clients navigate complex trading environments, particularly around...

  • Senior Trade Surveillance Project Manager

    3 weeks ago

    New York, New York, United States Innova Solutions Full time

    Project Manager - Trade SurveillanceInnova Solutions is seeking a highly skilled Project Manager to lead our Trade Surveillance team. As a Project Manager - Trade Surveillance, you will be responsible for managing projects from initiation to delivery, ensuring timely and within-budget completion. Your expertise in project management, trade surveillance, and...

  • Senior Trade Surveillance Project Lead

    4 weeks ago

    New York, United States Innova Solutions Full time

    Trade Surveillance Project Manager OpportunityInnova Solutions is seeking a highly skilled Trade Surveillance Project Manager to join our team. As a key member of our team, you will be responsible for leading trade surveillance projects from initiation to delivery, ensuring timely and within-budget completion.Key Responsibilities:Develop and execute project...

  • Quantitative Developer

    4 weeks ago

    New York, United States Next Ventures Full time

    I'm working with a leading consulting firm specializing in financial markets and technology, working closely with hedge funds and financial institutions to deliver innovative, high-performance solutions.They are currently seeking a highly skilled Quantitative Developer with a strong background in trade surveillance, quantitative modeling, and algorithm...

  • Trade Surveillance Consultant

    4 weeks ago

    New York, United States Robert Half Full time

    Job DescriptionJob DescriptionOur client is a market maker in OTC equities seeking a consultant to help on a trade surveillance lookback for OTC equities. Successful candidate will be supporting trade surveillance reporting and submitting referrals for SARS, and providing research support for alert review dispositions and SARS.  Some key qualifications...

  • SME (Corporate & Investment Banking) - Trading / Regulatory / Trade Surveillance

    4 weeks ago

    New York, United States Dexian Full time

    SME (Corporate & Investment Banking) - Trading/Regulatory/Trade SurveillanceNew York, NY12 + MonthsOnsite Day 1: Hybrid Model: 3 Days Onsite Per Week!Perform Global delivery of strategic FLOD surveillance, monitoring platform and toolsEstablish a robust surveillance framework through implementation of a trade surveillance platform, system controls and...

  • Senior Trade Surveillance Project Lead

    4 weeks ago

    New York, New York, United States Innova Solutions Full time

    Project Manager - Trade SurveillanceInnova Solutions is seeking a skilled Project Manager to lead our Trade Surveillance team.Key Responsibilities:Manage trade surveillance projects from initiation to deliveryCollaborate with cross-functional teams to ensure project successDevelop and implement project plans, timelines, and budgetsMonitor and report project...

  • Surveillance Director

    3 weeks ago

    New York, United States Public Health Solutions Full time

    Job Title: Surveillance DirectorPublic Health Solutions is seeking a highly skilled and experienced Surveillance Director to join our team. As a key member of our organization, you will be responsible for providing strategic leadership to our surveillance unit, overseeing a large portfolio of surveillance system applications, and fostering cross-bureau...

  • Audit Supervisor

    5 days ago

    New York, New York, United States Tech Brains Solutions, Inc. Full time

    Job Title: Audit Supervisor - Global Markets Trade SurveillanceAt Tech Brains Solutions, Inc., we are seeking a highly skilled Audit Supervisor to join our team in Global Markets Trade Surveillance. As an Audit Supervisor, you will play a critical role in ensuring the integrity of our trading activities and maintaining a strong control environment.Key...

  • Senior Trade Surveillance Project Lead

    3 weeks ago

    New York, New York, United States Innova Solutions Full time

    Job Title: Project Manager - Trade SurveillanceInnova Solutions is seeking a highly skilled Project Manager to lead our Trade Surveillance team. As a key member of our organization, you will be responsible for managing projects from initiation to delivery, ensuring timely and within-budget completion.Key Responsibilities:Develop and execute project plans,...

  • Trade Surveillance Project Lead

    4 weeks ago

    New York, New York, United States Innova Solutions Full time

    Innova Solutions is seeking a highly skilled Project Manager to lead our Trade Surveillance team. As a key member of our organization, you will be responsible for managing projects related to financial markets and ensuring compliance with regulatory requirements. The ideal candidate will have a strong background in project management, risk management, and...

  • Surveillance Associate

    10 hours ago

    New York, United States Larson Maddox Full time

    A leading full-service financial services firm is looking to bring on a Surveillance Associate to the Compliance Team to provide regulatory support to the equity trading desk. This firm receives consistent global recognition for its wealth management arm and ESG investment strategy. Title: Surveillance AssociateLocation: New York City (hybrid on-site)Salary:...