Compliance Surveillance Team Lead

3 weeks ago


Jacksonville, Florida, United States TBG | The Bachrach Group Full time
Compliance Surveillance Team Lead

Our client, a leading asset management firm, is seeking a seasoned professional to lead their trade and communication surveillance team. As a key member of the compliance team, you will be responsible for identifying and mitigating risks associated with trading, employee trading, and electronic communications.

Key Responsibilities:

  • Lead a small team of surveillance professionals
  • Develop and maintain subject matter expertise on key regulations related to trade surveillance and electronic communications
  • Manage the implementation of surveillance vendor solutions as needed
  • Conduct annual risk assessments to identify and monitor risk types in accordance with regulatory requirements and best practices
  • Collaborate with senior compliance management to escalate current or emerging risks in a timely fashion

Requirements:

  • Advanced degree in Accounting, Business, Economics, or Finance, or equivalent work experience
  • Proven experience in surveillance, audit, compliance/regulatory, financial services, or risk management
  • Demonstrated expertise in SEC and FINRA rules and regulations
  • Strong knowledge of securities products and asset classes
  • Excellent analytical skills, sound judgment, and attention to detail
  • Strong Microsoft Office skills, particularly in Excel and PowerPoint
  • Ability to exercise independent judgment and think analytically and strategically
  • Outstanding written and verbal communication skills
  • Able to meet deadlines and handle multiple matters simultaneously
  • Ability to collaborate with senior stakeholders and global colleagues


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