Front Office Trade Surveillance VP

3 weeks ago

Charlotte, United States Truist Full time

Essential Duties and Responsibilities

Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time. 

1. Identifies risks within Sales, Trading & Research where surveillance programs would support risk mitigation
2. Designs and implements surveillance programs
3. Works with traders, compliance, and other risk functions to review trade surveillance alerts and investigate potential compliance issues. 
4. Ensures effective research and documentation alerts 
5. Performs surveillance and trading activities to identify potential instances of market manipulation, unfairness to clients, or unauthorized trading

Level-specific duties:

1. Supports one or more LOBs in performing trade and electronic communication surveillance activities, working with traders, compliance, and other risk functions to review alerts and investigate potential compliance issues.
2. Performs surveillance of trading activities to identify potential instances of market manipulation, unfairness to clients, or unauthorized trading.
3. Research and document exceptions.
4. Assist in the design and implementation of surveillance reviews.
5. Identify, develop and deliver automated solution opportunities to drive surveillance initiatives.
6. Maintain appropriately detailed written records of surveillance reviews, investigations and trade surveillance activities, including escalation results.
7. Develops subject-matter expertise in trading activities and procedures, rules and regulations governing trading activities.

Required Qualifications:
The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.1. BA/BS degree
2. Licenses: Series 7, Series 99, Series 24, Series 53
3. Minimum of 7 years of experience within the financial services industry.
4. Strong understanding of trading activities in one or more financial asset classes (Equities, Fixed Income, or Derivatives).
5. Ability to engage and communicate effectively with management, traders, and internal risk partners.
6. Strong understanding of SEC/FINRA or CFTC/NFA regulations regarding secondary trading.
 

Preferred Qualifications:

1. MBA degree
2. Trade, as well as Regulator or institutional broker dealer compliance experience preferred.
 

General Description of Available Benefits for Eligible Employees of Truist Financial Corporation: All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays.

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