
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