Vice President, Compliance & Control

BNY•Lake Mary, FL

1d•Onsite

About The Position

We’re seeking a future team member for the role of Market Abuse Trade Surveillance Analyst, to join our Core Compliance team. In this role, you’ll make an impact by analyzing and documenting the disposition of trade alerts for potential market manipulation abuses, assisting with the management of Compliance and Regulatory risks, responding to and preparing responses for regulatory requests, and working with internal audit, compliance testing, and other internal stakeholders. You will also promote a strong regulatory mindset across the lines of business, provide guidance and interpretation of regulatory requirements, and ensure that the control framework meets regulatory expectations. Additionally, you will work to build control structures that support the monitoring of orders and trades for robust surveillance, perform deep dives to identify areas needing additional surveillance controls, assist in unifying MI and systems to drive best practices, create documentation to support surveillance activities, ensure documentation and systems infrastructure remain appropriate, actively participate in surveillance meetings, and assist with annual parameter reviews and risk assessments.

Requirements

Relevant experience in a similar Surveillance, Control or Compliance role.
Thorough knowledge of financial markets, including equity, option, FX and fixed income products.
Strong working knowledge of the applicable regulatory principles and rules (SEC, Finra, FCA) that govern market abuse.
Experience operating surveillance systems, investigating potentially abusive behavior and dealing with Introducing Broker-Dealers and trading staff.
Investigative skills and an analytical mindset are essential.
Oral and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.

Nice To Haves

Experience gained from a Regulatory organization would be beneficial.
Bachelor’s degree or master’s degree preferred.

Responsibilities

Analyzing and documenting the disposition of trade alerts for potential market manipulation abuses including but not limited to: Trading Ahead of News (Insider Dealing), Wash Sales, Spoofing, Marking the Open/Close
Assisting with the management of Compliance and Regulatory risks.
Responding to and participate in the preparation of responses to regulatory requests when required.
Work with internal audit, compliance testing and other internal stakeholders.
Promoting a strong regulatory mindset across the lines of business.
Provide guidance and interpretation of regulatory requirements.
Ensure that the control framework meets regulatory expectations and the expectations of senior management and regulators.
Work to build control structures that support the monitoring of orders and trades to provide robust surveillance.
Perform deep dives and identify areas that may need additional surveillance controls.
Assist in the unification of MI and systems to drive best practice across the Controls Team.
Create documentation to support surveillance activities.
Ensuring documentation and systems infrastructure remain appropriate.
Actively participate in surveillance meetings as required.
Assist with annual parameter reviews and risk assessments as needed.