Vice President, Surveillance Analyst, Compliance Surveillance

BNY • Lake Mary, FL

3h

About The Position

At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.
Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what #LifeAtBNY is all about. Join us and be part of something extraordinary.
We’re seeking a future team member for the role of Market Abuse Surveillance Analyst, Compliance Surveillance to join our Compliance team. This role is located in Lake Mary, FL
In this role, you’ll make an impact in the following ways:

Requirements

• Relevant experience in a similar Surveillance, Control or Compliance role.
• Thorough knowledge of financial markets, including FX, fixed income and equity products.
• Strong working knowledge of the applicable regulatory principles and rules, such as market abuse, best execution and information barriers would be advantageous.
• Experience operating surveillance systems, investigating potentially abusive behavior and dealing with 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.
• Bachelor’s degree or master’s degree preferred.

Nice To Haves

• Experience gained from a Regulatory organization would be beneficial.

Responsibilities

• 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.
• Help train and mentor junior members of the team as needed.
• Ensuring documentation and systems infrastructure remain appropriate.
• Actively participate and lead surveillance meetings as required.
• Assist with annual parameter reviews and risk assessments as needed.
• Assist with development and delivery of annual training programs as required.

Benefits

• BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy.
• We provide access to flexible global resources and tools for your life’s journey.
• Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees