Vice President - CIB US Surveillance Compliance Officer

Full-time - Entry Level

Jersey City, NJ

10,001+ employees

Credit Intermediation and Related Activities

About the position

The Trade Surveillance Investigator will be responsible for performing risk analysis through the utilization of proprietary and third-party surveillance applications to detect possible market manipulation activity to safeguard the firm from any potential regulatory, reputational and/or financial risk. Must be able to work both independently and as an integral part of the surveillance team. As a subject matter expert, the investigator should understand various financial products including Equities, Equity Derivatives, Commodities, Fixed Income and Forex.

Responsibilities

• Conduct investigations of escalated trading alerts from a qualitative and timeliness perspective.
• Escalate potential issues and risk concerns detected during the course of surveillance.
• Prepare and present written information in a clear, concise, and convincing manner.
• Ability to organize, analyze and interpret large amounts of data.
• Prepare and distribute reports and presentation materials to management, identifying and detailing risk concerns.
• Perform Quality Assurance and Remediation reviews.
• Exhibit a willingness to take on ad hoc projects and tasks above and beyond the normal scope of responsibility.
• Demonstrate the ability to independently lead and drive projects.
• Identify, facilitate and implement process improvement ideas to promote efficiency.
• Respond timely to internal or external requests for information and/or analysis.
• Achieve objectives within tight time constraints while balancing competing priorities.

Requirements

• Two to five years of experience with a financial services firm and/or self-regulatory organization in a Trading, Compliance or Regulatory related position.
• Exposure to trading desks, capital markets and the securities industry.
• Knowledge of US securities, commodities, and banking regulations, including the rules and regulations of the SEC, CFTC and exchanges and associations under such federal agencies, including FINRA, NYSE, CBOE, ISE, CME, NYMEX and ICE US.
• Attention to detail and the ability to manage multiple undertakings at the same time and with different level of granularity, constantly keeping focus on priorities.
• Analytical ability to manage a project, Ability to develop and adapt a process.
• Personal Impact / Ability to influence, Attention to detail / Rigor, Critical thinking, Adaptability, Active listening, Organizational skills.
• Bachelor's Degree required; Master's Degree a plus.

Nice-to-haves

• Product knowledge in: Equities, Equity Derivatives, Commodities, Fixed Income and Forex.
• Proficiency with SMARTS/NTS, Actimize, Excel and PowerPoint.
• Strong writing and analytical skills.
• Prior experience in drafting Suspicious Activity Reports (SARs) a plus.
• Previous Trade Surveillance experience a plus.
• Prior Trading background and/or trade flow experience a plus.
• Prior experience with low priced/microcap securities, pump and dump schemes, securities fraud, toxic lending/financing a plus.
• Audit background a plus.
• FINRA securities licenses and other related professional certifications a plus (e.g., Series 3, 7, 57, 63, etc.).
• Prior experience or exposure to Section 5 of the Securities Act of 1933, SEC Rule 144, Regulations D and S a plus.

Benefits

• Medical, dental and vision coverage.
• 401(k) Savings Plan.
• Backup childcare.
• Life, accident and disability insurance.
• Mental health support.
• Paid time off.
• Eligibility for a discretionary bonus.