Compliance Officer

3 weeks ago

Charlotte, United States Apex Systems Full time

Role: Compliance Officer

Duration: 9mo+

Location: Hybrid (3x a wk onsite) in Charlotte, NC or NY, NY

Client: Large bank


Summary:

This is for the Market Conduct Program - they are in charge of building out the surveillance officer model and owning the supervisory procedures. They need people that come from a regulatory compliance background in the markets/trading industry because they are dealing with regulations that govern trading. Looking for a business aligned compliance officer with very strong writing skills since they will be writing these supervisory procedures. There are a couple hundred procedures to write.


Must-haves:

  1. Previous experience in compliance within the markets/trading industry, preferably with knowledge of regulations governing trading activities.
  2. Exceptional writing skills to craft comprehensive supervisory procedures.
  3. Background in regulatory compliance with a strong understanding of compliance frameworks.
  4. Familiarity with corporate or surveillance backgrounds, preferably from investment management or similar institutions.
  5. Proficiency in Microsoft Word.


Nice-to-have:

  1. Word
  2. SharePoint
  3. OpenText


Day-to-Day:

  1. Writing supervisory procedures that detail how supervisors should monitor trading activities to detect and prevent any potential violations of market regulations. They could include instructions on how to review transaction records, conduct audits, investigate suspicious activities, and report any findings to regulatory authorities.
  2. Surveillance and market conduct for supervisors’ responsibilities per regulation
  3. Maintain supervisor procedure documents
  4. Ensure procedures align with regulatory requirements and industry best practices.
  5. Conduct research to stay updated on market regulations and compliance standards.
  6. Assist in building out the surveillance officer model and implementing effective monitoring strategies.
  7. Review transaction records and conduct audits to detect potential violations of market regulations.
  8. Investigate suspicious activities and report findings to regulatory authorities as necessary.
  9. Maintain and update supervisor procedure documents to reflect changes in regulations or internal processes.
  10. Communicate effectively with stakeholders to ensure understanding and compliance with procedures.


If interested, please send your resume to kwillet@apexsystems.com

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