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About the role
Key responsibilities & impact- Consistently exercise discretion in managing correspondence, information and all matters of confidentiality
- Be knowledgeable of practices and procedures within own area of responsibility
- Protect the interests of the organization – identify and manage risks
- Conduct reporting and / or meaningful analysis at the functional or enterprise level
- Monitor service, productivity and assess efficiency levels within own function
- Familiarize with key stakeholders including the front office teams and the Compliance Advisory team
- Prepare summaries, communications, reports and presentations for management, regulators, and other stakeholders
Requirements
What you’ll need- Undergraduate degree required
- Relevant professional designations such as FINRA Certified Compliance Officer Program
- Basic knowledge of Equities is required
- 5+ years of experience surveillance of Equities, Options and Futures preferred
- Surveillance experience at peer firm or regulator is preferred
- Knowledge of the US markets and regulations, particularly in relation to Equities, Options and Futures
Benefits
Comp & perks- health and well-being benefits, including medical coverage
- paid time off
- career development
- reward and recognition programs
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
surveillancereportinganalysisrisk managementefficiency assessmentcommunication preparationpresentation preparation
Soft Skills
discretionconfidentiality managementstakeholder engagement
Certifications
FINRA Certified Compliance Officer