VP, Equities Surveillance
Vice President, Equities Surveillance
Overview
Our client, a global investment bank, is seeking a Vice President to join its Trading and Surveillance team within the Compliance Department. The successful candidate will play a key role in reviewing surveillance reports, investigating potential rule or law violations, and providing compliance support to the trading businesses. This position requires strong analytical and communication skills, along with initiative and accountability.
The role reports to the Head of Surveillance and Trading Compliance, is based in Manhattan, and follows a hybrid schedule. The base salary range for this position is $125,000-$150,000, commensurate with experience.
Essential Job Functions
Review trading reports to ensure compliance with laws, rules, and regulations governing equities markets.
Independently monitor trading behavior to identify potentially inappropriate or fraudulent activity.
Conduct in-depth analysis and research of potential issues to assess whether trading activities were conducted appropriately.
Escalate findings to senior management or colleagues for potential regulatory filings.
Provide compliance advisory support on key regulatory topics, including Consolidated Audit Trail, SEC Market Access Rule, and Regulation SHO.
Communicate clearly and concisely with staff at all levels to evaluate potential issues.
Partner with IT and other business units to identify opportunities to enhance surveillance reports.
Support management in implementing action plans that strengthen regulatory controls.
Present compliance topics at regular meetings with trading staff.
Required Qualifications
Minimum of five years' experience in a regulatory or compliance setting.
Strong knowledge of equities trading, surveillance procedures, and applicable rules and regulations.
Preferred Qualifications
Legal training and/or direct regulatory experience.
Experience in options markets.
Knowledge, Skills, and Abilities
Superior oral and written communication skills.
Strong presentation skills.
Excellent attention to detail, time management, and analytical skills.
Intellectual curiosity and a drive to excel.
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