VP, Trade Surveillance

Full Time

Madison-Davis

EXTERNAL CLIENT ROLE

Overview

  • 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.
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