Trade Surveillance Compliance Officer

4 weeks ago

New York, United States Partnership Employment Full time

Position Overview:

As a Senior Trade Surveillance Compliance Officer, you will play a crucial role in ensuring that our firm adheres to regulatory requirements and internal policies related to trade surveillance. You will be responsible for monitoring trading activities, detecting potential violations, and implementing measures to mitigate risks. This position requires a deep understanding of securities regulations, market dynamics, and trading practices.


Key Responsibilities:

  • Conduct comprehensive surveillance of trading activities to identify potential market abuse, insider trading, front-running, and other regulatory violations.
  • Utilize advanced surveillance tools and techniques to monitor trading patterns, order flows, and market behaviors.
  • Analyze trading data and alerts generated by surveillance systems to assess the significance of potential violations and escalate issues as necessary.
  • Collaborate with other teams, such as operation, technology and customer services, to investigate suspicious activities and implement appropriate remedial actions.
  • Develop and maintain surveillance policies, procedures, and controls to ensure compliance with regulatory requirements and industry best practices.
  • Stay abreast of evolving regulatory developments, market trends, and technological advancements to enhance surveillance capabilities and adapt to changing risk landscapes.
  • Provide guidance and training to junior staff members on surveillance techniques, regulatory compliance, and industry standards.
  • Prepare reports and presentations for senior management, regulatory authorities, and internal audit functions to communicate surveillance findings and recommendations.
  • Work with the other colleagues to report and fix CAT and CAIS problems.
  • Provide guidance and training to junior staff members on CAT and CAIS compliance, surveillance techniques, regulatory requirements, and industry standards.
  • Prepare reports and presentations for senior management, regulatory authorities, and internal audit functions to communicate surveillance findings and recommendations, with a specific focus on CAT and CAIS compliance.

Qualifications:


  • Bachelor's degree in finance, economics, accounting, or a related field. Advanced degree or professional certification (e.g., CFA, CAMS, CRCM) is a plus.
  • Minimum of 10 years of experience in trade surveillance, compliance, or a relevant area within the financial services industry, preferably within a broker-dealer or regulatory agency.
  • In-depth knowledge of securities regulations, including but not limited to SEC, FINRA, and CFTC rules governing trading activities and market conduct.
  • Proficiency in using trade surveillance systems, market data platforms, and analytical tools to identify suspicious activities and trends.
  • Strong analytical skills with the ability to interpret complex data sets and identify meaningful insights.
  • Excellent communication and interpersonal skills, with the ability to effectively collaborate with cross-functional teams and communicate complex concepts to non-technical stakeholders.

Proven track record of managing multiple projects simultaneously and delivering high-quality results under tight deadlines.

Demonstrated commitment to integrity, professionalism, and ethical conduct in all aspects of work.

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