About this role
Role Overview
- Responsible for managing the electronic communications program within the Global Control Room that performs surveillance on Corporate and Investment Banking
- Monitor business activities between Equity Research and Investment Banking and ensure groups are conducting business activities independently
- Provide guidance, advice and rule interpretation to the business lines and leaders
- Identify compliance related issues and escalate issues identified to business unit management and monitoring for resolution
Requirements
- Undergraduate degree required
- 5-10 years of experience in Surveillance in Communications
- Surveillance experience at peer firm or regulator is preferred
- Have a diverse range of financial products knowledge and working knowledge of market rules and regulations
- A general understanding of registration and surveillance activities is desirable
- Thorough knowledge of the securities industry and operations of the capital markets
- Ability to work under pressure and meet deadlines
Benefits
- Health and well-being benefits
- Savings and retirement programs
- Paid time off
- Banking benefits and discounts
- Career development
- Reward and recognition programs