Vice President, Compliance & Control

BNY Mellon • Lake Mary, FL

3h • Onsite

About The Position

BNY is seeking a Market Abuse Trade Surveillance Analyst to join their Core Compliance team in Lake Mary, FL. This role involves analyzing and documenting trade alerts for potential market manipulation, assisting with compliance and regulatory risk management, and responding to regulatory requests. The analyst will work with internal audit and other stakeholders to promote a strong regulatory mindset, provide guidance on regulatory requirements, and ensure the control framework meets expectations. The position also involves building robust surveillance structures, performing deep dives to identify areas for additional controls, assisting with the unification of MI and systems, creating documentation for surveillance activities, and participating in surveillance meetings and annual reviews.

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.

Benefits

• highly competitive compensation, benefits, and wellbeing programs
• access to flexible global resources and tools for your life’s journey
• generous paid leaves, including paid volunteer time
• 401(k) plan
• Company-sponsored medical, dental, vision, and basic life insurance plans for the employee and the employee’s eligible dependents
• various paid time off benefits, such as vacation and sick time

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Number of Employees: 1-10 employees