Essential Duties and Responsibilities:
- Review, research and appropriately respond to alerts identified on the Firm's suite of equity surveillance report platforms.
- Assess the current equity surveillance program and identify opportunities for improvement, increasing efficiency, and ensuring that the firm meets regulatory expectations and industry best practices.
- Assist with the updating of the Firm's policies and procedures and related documentation to reflect any amendments made to the equity surveillance program.
- Review the Equity business transaction reports to ensure accuracy and take remedial action as needed
- Provide report review status updates and activities to senior compliance officers and other key stakeholders
- Assist with the reporting improvement requests and bug remediation requests with IT teams
- Keep abreast of regulatory changes, new regulations, and internal policy changes in order to further identify new key risk areas.
- Performs other duties and responsibilities as assigned.