Financial Surveillance Specialist

4 weeks ago

New York, United States Phyton Talent Advisors Full time

This individual will be joining the Compliance Surveillance team, responsible for monitoring trading in all asset classes to detect trading activity that could adversely affect the firm and its reputation. The surveillance professional will work closely with experienced staff to develop the capacity to conduct high-quality routine surveillance and contribute to the overall effectiveness of the firm's compliance program.


Essential Duties and Responsibilities:


1. Trade Surveillance:

- Review, research, and respond appropriately to alerts identified on the Firm’s trade surveillance platforms.

- Assess the current trade surveillance program, identifying opportunities for improvement and ensuring compliance with regulatory expectations and industry best practices.

- Review transaction reports for accuracy and take remedial actions as necessary.

- Contribute to the implementation and integration of third-party trade surveillance platforms.

- Assist with reporting improvement requests and bug remediation with IT teams.

- Prepare responses to information requests from internal and external auditors or regulatory bodies.

- Maintain awareness of regulatory changes, new regulations, and internal policy changes to identify new key risk areas.


2. Electronic Communications Surveillance:

- Utilize surveillance systems to review employee communications for content, appropriateness, regulatory compliance, and misuse of confidential information.

- Identify, document, and resolve potential regulatory or compliance issues.

- Review supervisor feedback, address issues raised, and enforce documentation of deadlines for supervisory reviews of electronic communications.

- Liaise with other teams within Compliance, Legal, and business management to assess risk and follow up on issues identified during communication reviews.

- Design, test, and maintain communication surveillance systems.


3. Policy and Procedure Management:

- Assist with updating the Firm’s policies and procedures and related documentation to reflect amendments to the trade surveillance program.

- Ensure that the firm's surveillance policies and procedures are aligned with regulatory standards and industry best practices.


4. Reporting and Stakeholder Communication:

- Provide status updates and activity reports to senior compliance officers and other key stakeholders.

- Manage projects and participate in firm-wide initiatives and training programs.


5. Additional Responsibilities:

- Perform other duties and responsibilities as assigned.


Required Experience:

- 5+ years in the financial services industry, preferably at a broker/dealer or regulatory agency (e.g., FINRA, SEC, CFTC) with a focus on surveillance.

- Knowledge of governing body rules and regulations, including the SEC, FINRA, and applicable exchanges.

- Familiarity with Nasdaq Workstation (ACT), Consolidated Audit Trail (CAT), FINRA, TradingHub, BTCA, and/or Eventus Validus systems is a plus.

- Experience with Global Relay and/or Behavox systems is a plus.


Skills:*

- Strong organizational and delivery skills.

- Excellent written, verbal, and analytical skills.

- Ability to express ideas in a persuasive, confident, organized, concise, clear, and articulate manner.

- Self-starter, flexible, innovative, adaptive, and highly motivated with strong attention to detail.

- Strong interpersonal skills, including the ability to collaborate and work as a team.

- Proficiency in MS Office tools such as Outlook, Word, and Excel (including creating pivot tables, writing macros, and running formulas).


Education:

- Bachelor’s Degree (B.A./B.S.) in a related discipline is required. Advanced degree (MBA, J.D.) is a plus.

- Series 7, Series 57, Series 24, and/or Series 4 licenses/registrations are a plus.


Join our Compliance Surveillance team to help ensure the integrity of our trading activities and protect the firm’s reputation through meticulous monitoring and proactive risk management.

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