EXTERNAL CLIENT ROLE
- Evaluate and analyze surveillance results for possible violation of law, regulation, firm policies or for other irregularities, escalating potential issues in accordance with Compliance Standards.
- Along with the Head of Trade Surveillance, influence, and challenge to ensure regulatory obligations of programs are effective.
- Lead projects for key initiatives across the team, including the implementation of new surveillance activities, as required.
- Play an instrumental role in continuing to drive efficiencies, align surveillance functions and evolve the Trade Surveillance Program.
- Keep current on regulatory developments and enterprise-wide policies and procedures necessary to conduct monitoring and surveillance effectively and adequately.
- Build constructive relationships with business partners while adhering to the highest ethical standards.