Compliance - Surveillance Lead (Futures) - Vice President
About The Position
As a Compliance, Conduct and Operational Risk (CCOR) Surveillance Lead Vice President on the North America and Latin America Futures Trade Surveillance team, you will provide surveillance coverage for futures and options on futures trading activity. You will review surveillance alerts and escalate activity that may indicate potential market manipulation or other impermissible trading behavior. You will partner with Line of Business management, Compliance stakeholders, and global and regional surveillance teams to advance the global program. The role also supports stronger surveillance capabilities and regulatory engagements through rigorous analysis and attention to detail.
Requirements
- Bachelor’s degree.
- 5 years of trade surveillance or other compliance, regulatory, or related financial industry experience.
- Relevant knowledge of futures products.
- Knowledge of industry rules and regulations and market structure.
- Strong written communication, verbal communication, and presentation skills.
- Excellent analytical skills and strong attention to detail.
- Demonstrated ability to handle multiple tasks in a fast-paced environment.
- Ability to effectively partner with key stakeholders and technology partners.
- Experience with surveillance tools and related applications such as Actimize, SMARTS, or Bloomberg, as well as Excel, PowerPoint, and SharePoint.
Responsibilities
- Review surveillance output and analyze trading and market activity, focusing on firmwide futures trading to identify potential market manipulation or impermissible behavior.
- Partner with Line of Business management and Compliance stakeholders to review and resolve activity requiring further review.
- Collaborate with global and regional surveillance teams to promote the global program and its responsibilities.
- Conduct reviews and analysis to support regulatory exams, inquiries, and other requests, partnering with Legal on responses as needed.
- Work with global surveillance and technology stakeholders on new and enhanced surveillances, including defining requirements, conducting analysis, user acceptance testing, and implementing related processes and procedures.
Benefits
- Competitive total rewards package, including base salary determined based on role, experience, skill set, and location.
- Eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity.
- Comprehensive health care coverage.
- On-site health and wellness centers.
- Retirement savings plan.
- Backup childcare.
- Tuition reimbursement.
- Mental health support.
- Financial coaching.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
