Trade Surveillance Vice President

3 weeks ago


Charlotte, North Carolina, United States Truist Full time
Job Summary

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.
Requirements
  • 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.
Preferred Qualifications
  • MBA degree.
  • Trade, regulator, or institutional broker dealer compliance experience.
Benefits

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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