VP, Market Surveillance Officer
4 days ago
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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