About this role
Role Overview
- Consistently exercise discretion in managing correspondence, information and all matters of confidentiality
- Be knowledgeable of practices and procedures within own area of responsibility
- Protect the interests of the organization – identify and manage risks
- Conduct reporting and / or meaningful analysis at the functional or enterprise level
- Monitor service, productivity and assess efficiency levels within own function
- Familiarize with key stakeholders including the front office teams and the Compliance Advisory team
- Prepare summaries, communications, reports and presentations for management, regulators, and other stakeholders
Requirements
- Undergraduate degree required
- Relevant professional designations such as FINRA Certified Compliance Officer Program
- Basic knowledge of Equities is required
- 5+ years of experience surveillance of Equities, Options and Futures preferred
- Surveillance experience at peer firm or regulator is preferred
- Knowledge of the US markets and regulations, particularly in relation to Equities, Options and Futures
Benefits
- health and well-being benefits, including medical coverage
- paid time off
- career development
- reward and recognition programs