Compliance Surveillance Consultant




Scope and Purpose

  • Provide compliance oversight of the firm’s lines of business, and advise front office and back office on transactions and operational processes
  • Monitor the firm’s trading platforms for post trade compliance
  • Identify risk
  • Conduct surveillance reviews of transactions
  • Develop and enhance existing controls for detecting market-abuse
  • Assist in trade reconstruction in response to regulatory inquiries
  • Assist in the coordination and facilitation of regulatory examinations
  • Stay abreast of new rules and regulatory initiatives (Rule 606, CAT)
  • Assist in the development and enhancement of tools and systems used to conduct trade surveillance and trend analysis

Required qualifications, skills and knowledge

  • In-depth understanding of the changing surveillance and trade monitoring environment, including areas of focus for US Regulators
  • 5-7 years’ experience in a broker-dealer compliance capacity with specific knowledge of trade monitoring and surveillance processes in Equities products
  • Comprehensive understanding of securities operations, clearance and settlement a plus
  • Working knowledge of Rule 606 and Consolidated Audit Trail (“CAT”) requirements
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