Madison-Davis

EXTERNAL ROLE

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