Trade Surveillance Vice President
3 weeks ago
We are seeking a highly skilled Trade Surveillance Vice President to join our team at Truist. The successful candidate will be responsible for identifying and mitigating risks within our Sales, Trading & Research functions.
Key Responsibilities- Design and implement surveillance programs to identify potential risks and compliance issues.
- Collaborate with traders, compliance, and risk functions to review trade surveillance alerts and investigate potential issues.
- Perform surveillance and trading activities to identify potential instances of market manipulation, unfairness to clients, or unauthorized trading.
- Support the development and implementation of surveillance reviews and automated solution opportunities.
- Maintain detailed records of surveillance reviews, investigations, and trade surveillance activities.
- BA/BS degree in a relevant field.
- Licenses: Series 7, Series 99, Series 24, Series 53.
- Minimum of 7 years of experience in the financial services industry.
- Strong understanding of trading activities in one or more financial asset classes (Equities, Fixed Income, or Derivatives).
- Ability to engage and communicate effectively with management, traders, and internal risk partners.
- MBA degree.
- Trade, regulator, or institutional broker dealer compliance experience.
As a Truist teammate, you will be eligible for a range of benefits, including medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan. You will also receive a minimum of 10 days of vacation and 10 sick days per year, as well as paid holidays.
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Trade Surveillance Vice President
7 days ago
Charlotte, North Carolina, United States Truist Full timeJob SummaryWe are seeking a highly skilled Trade Surveillance Vice President to join our team at Truist Financial Corporation. The successful candidate will be responsible for identifying risks within Sales, Trading & Research and designing surveillance programs to mitigate these risks.Key ResponsibilitiesDesign and implement surveillance programs to...
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Trade Surveillance Vice President
2 weeks ago
Charlotte, North Carolina, United States Truist Full timeJob SummaryWe are seeking a highly skilled Trade Surveillance Vice President to join our team at Truist Financial Corporation. The successful candidate will be responsible for identifying risks within Sales, Trading & Research and designing surveillance programs to mitigate these risks.Key ResponsibilitiesDesign and implement surveillance programs to...
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