About this role
Role Overview
- Clear trade alerts backed up due to a change in trade surveillance systems
- Conduct daily surveillance to ensure compliance with appropriate rules, regulations, and firm policies
- Perform research and investigations to identify reasons for potential violations
- Document research results and escalate violations and/or suspicious activity according to firm policy and regulatory requirements
- Liaise with Information Technology and Senior Management in the development, review, and clearing of surveillance models
Requirements
- Experience in Trade Surveillance
- Knowledge of compliance rules and regulations
- Strong research and investigation skills
- Ability to document findings accurately
- Liaise with IT and Senior Management
Benefits
- medical, dental, and vision coverage to employees and dependents
- a 401(k) plan with a generous employer match
- an employee stock purchase plan
- a generous Paid Time Off policy
- paid parental leave and adoption assistance
- Wellness Program supporting employee total well-being by providing free annual health screenings and coaching, bank at work, and on-site workshops, as well as ongoing programs recognizing major events in the lives of our employees throughout the year