Overview

 

The electronic trading division of a global financial firm seeks a Compliance Surveillance Manager.

Functional:

  • Monitor for improper trading behavior such as price manipulation, spoofing, insider dealing, insider information violations, and general market abuse.
  • Review platform trading activity for any violations with rulebooks, operating procedures, and/or market regulations.
  • Manage surveillance platform alert output. Discern which alerts require further escalation.  Present alert findings to Surveillance Committee.  Ensure alert risks are mitigated in a timely manner.
  • Create cases associated with questionable alerts.  Own alert case lifecycle from inception to completion.
  • Work with the broader surveillance team to help build, create FRDs, beta test, and implement new alerts.
  • Assist with alert calibration for new and existing modules.
  • Prepare management information reports for both internal and external regulatory reporting purposes.
  • Develop, maintain and update relevant regulatory policies, processes and procedures. Monitor activity and enforce compliance with all aspects of these policies, processes and procedures.
  • Ensure regulatory obligations, such as standard, frequent and ad hoc regulatory filings and reporting, are made in a correct and timely fashion.
  • Conduct and document regular testing and monitoring of controls and procedures.
  • Foster and manage regulatory relationships with all relevant regulators.
  • Develop, implement and conduct compliance training programs. Review existing programs for needed improvements and updates due to revisions in laws and regulations.
  • Engage in risk assessment and risk mitigation planning specifically related to trading platforms.
  • Work closely with the business unit to develop pragmatic solutions/opportunities while remaining cognizant of regulatory rules, obligations and expectations.
  • Work seamlessly and in partnership with other members of the Legal team, fostering a collegiate and effective partnership.
  • Leverage and partner with other colleagues within the company, which include but are not limited to, IT, Onboarding, Operations, and the business unit.
  • Ensure effective management of relationships with relevant US (and where relevant global) regulators.
  • Manage external compliance and legal resources and relationships as needed.

Technical Knowledge:

Knowledge of FX products, Spot, Fwd, Swaps, NDFs, and Options

Knowledge of FX ECNs.

Knowledge and Understanding of regulated activity, in particular CFTC and SEF

Experience working with monitoring and surveillance programs

 

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com.

 

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