Assistant Vice President Of Trade Surveillance

Overview

• Support front office sales and trading desks for fixed income, equity, and futures products, ensuring compliance and accurate trade reporting.
• Monitor trading activities in real-time and T+1 to identify market manipulation and ensure regulatory adherence.
• Collaborate with front office, middle office operations, and IT teams to address daily compliance matters.
• Review and enhance trade surveillance operations, ensuring alignment with regulatory requirements.
• Prepare and present surveillance activity reports to stakeholders on a weekly and quarterly basis.
• Conduct reviews of TRACE reporting and regulatory reporting, addressing discrepancies effectively.
• Stay updated on rule changes and communicate updates to relevant personnel.
• Assist in policy and procedure reviews and updates to maintain compliance standards.
• Participate in regulatory inquiries and examinations to ensure organizational compliance.

Key Responsibilities & Duties

• Enhance trade surveillance operations and ensure compliance with regulatory standards.
• Prepare and present surveillance activity reports to stakeholders on a regular basis.
• Conduct monthly FINRA report card reviews and research discrepancies.
• Perform best execution reviews and TRACE reporting assessments.
• Handle daily trade reporting discrepancies and ensure accurate regulatory reporting.
• Oversee compliance inspections, testing, and risk assessments.
• Supervise front office sales and trading desks to ensure adherence to compliance standards.
• Assist in policy and procedure reviews and updates for compliance improvement.
• Collaborate with teams to address regulatory inquiries and examinations effectively.

Job Requirements

• Bachelor’s degree in finance, business, or a related field.
• Minimum of 5 years of experience in compliance or surveillance roles.
• FINRA Series 7 license for general representatives is required.
• Proficiency in Bloomberg, NASDAQ SMARTs Surveillance, TRACE, and Microsoft Excel/PowerPoint.
• Strong communication skills to interact effectively with internal teams and partners.
• Experience with visualization creation tools for reporting and analysis.
• Knowledge of regulatory reporting requirements such as CAT/CAIS and Bluesheets.
• Ability to stay updated on rule changes and communicate updates effectively.
• Strong analytical and problem-solving skills to address compliance discrepancies.