VP, Market Surveillance Officer
7 days ago
We are seeking a highly skilled Compliance Risk Officer to join our team at the Hispanic Technology Executive Council. As a key member of our Surveillance team, you 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- Develop and implement surveillance scenarios and conduct reviews to ensure compliance with regulatory requirements.
- Collaborate with internal stakeholders to improve surveillance tools and applications, and proactively address potential issues.
- Analyze trade data and respond to regulatory inquiries from major regulatory bodies, including FINRA, SEC, and CFTC.
- Participate in ad-hoc requests, special projects, and regulatory exams directed by other organizations within the compliance or legal departments.
- Oversee monitoring to ensure adherence to Risk Policies and relevant procedures.
- Prepare, edit, and maintain program-related materials, and interact with other areas within the organization as necessary.
- Stay up-to-date with regulatory changes, new regulations, and internal policy changes to identify new key risk areas.
- Knowledge of Compliance laws, rules, regulations, risks, and typologies.
- General understanding of securities trading and corresponding regulations, with proven ability to prioritize and manage multiple projects.
- Excellent research and analytical skills, as well as technical aptitude.
- Excellent written and verbal communication skills.
- Self-starter with flexibility, innovation, and adaptability.
- Demonstrated interpersonal skills with ability to work collaboratively and with people at all levels of the organization.
- Advanced project management and organizational skills, with ability to handle multiple projects at one time.
- Proficient in MS Office applications (Excel, Word, PowerPoint).
- Ability to work collaboratively and independently, and navigate a complex organization.
- Advanced analytical skills.
- Demonstrated knowledge in area of focus.
- Bachelor's degree; 5-7 years experience in compliance, legal, or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus.
- Advanced degree (e.g. JD, MBA) a plus.
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VP, Market Surveillance Officer
4 days ago
Jersey City, New Jersey, United States Hispanic Technology Executive Council Full timeJob 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...
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