VP, Market Surveillance Officer

4 days ago


Jersey City, New Jersey, United States Hispanic Technology Executive Council Full time

Job Summary:

The Hispanic Technology Executive Council is seeking a highly skilled and experienced VP, Market Surveillance Officer to join our team. As a key member of our Compliance and Control department, this individual will be responsible for designing, implementing, and overseeing a suite of surveillances to detect behaviors that may violate regulatory rules or internal policies and procedures.

Key Responsibilities:

  • Creating, enhancing, and implementing surveillance scenarios and conducting surveillance reviews to ensure compliance with regulatory requirements.
  • Gathering, reviewing, investigating, and analyzing trade data to identify potential issues and escalate them to the appropriate coverage areas.
  • Participating in ad-hoc requests, special projects, and regulatory exams directed by other organizations within the compliance or legal departments.
  • Overseeing the monitoring of adherence to our Risk Policies and relevant procedures, and preparing, editing, and maintaining program-related materials.
  • Interacting and working with other areas within the company, as necessary, to ensure effective communication and collaboration.
  • Keeping abreast of regulatory changes, new regulations, and internal policy changes to identify new key risk areas.

Requirements:

  • Knowledge of Compliance laws, rules, regulations, risks, and typologies.
  • A general understanding of securities trading and corresponding regulations, with proven ability to prioritize and manage multiple projects.
  • Excellent research and analytical skills, in addition to a technical aptitude.
  • Excellent written and verbal communication skills.
  • Must be a self-starter, flexible, innovative, and adaptive.
  • Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization.
  • Advanced project management and organizational skills, with the capability to handle multiple projects at one time.
  • Proficient in MS Office applications (Excel, Word, PowerPoint).
  • The ability to work collaboratively and independently, and navigate a complex organization.
  • Advanced analytical skills.
  • Demonstrated knowledge in the area of focus.

Education:

  • Bachelor's degree; 5-7 years of experience in compliance, legal, or other control-related functions in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in the area of focus.
  • Advanced degree (e.g. JD, MBA) a plus.


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