Vice President, Market Abuse Trade Surveillance
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. This role is located in Lake Mary, FL. In this role, you’ll make an impact by 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. You will also assist with the management of Compliance and Regulatory risks, respond to and participate in the preparation of responses to regulatory requests when required, and work with internal audit, compliance testing and other internal stakeholders. Promoting a strong regulatory mindset across the lines of business, providing guidance and interpretation of regulatory requirements, and ensuring that the control framework meets regulatory expectations and the expectations of senior management and regulators are key aspects of this role. You will 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, and assist in the unification of MI and systems to drive best practice across the Controls Team. Creating documentation to support surveillance activities and ensuring documentation and systems infrastructure remain appropriate are also important. You will actively participate in surveillance meetings as required and assist with annual parameter reviews and risk assessments as needed.
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.
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.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Number of Employees
5,001-10,000 employees
