Assistant Vice President, Trade Surveillance

Assistant Vice President, Trade Surveillance

About the Company

Prominent financial services company specializing in investment management, research & trading services

Industry
Financial Services

Type
Privately Held

About the Role

The Company is seeking an Assistant Vice President for Trade Surveillance to join their team. The successful candidate will be responsible for supporting front office sales and trading desks across various products, including fixed income, equity, and futures, to ensure compliance and accurate trade reporting. This role involves real-time and T+1 monitoring of trading activities to identify any instances of market manipulation and to ensure adherence to regulatory standards. The AVP will also be involved in enhancing trade surveillance operations, preparing and presenting surveillance activity reports, and conducting reviews of regulatory reporting to address any discrepancies. Applicants must have a Bachelor’s degree in finance, business, or a related field, with a minimum of 5 years' experience in compliance or surveillance roles. A FINRA Series 7 license is required. The role demands proficiency in various financial tools and software, strong communication skills, and the ability to work effectively with internal and external stakeholders. The AVP will also be expected to have a solid understanding of regulatory reporting requirements and the ability to stay updated on rule changes. Strong analytical and problem-solving skills are essential for this position, as is the ability to assist in policy and procedure reviews to maintain high compliance standards.

Travel Percent
Less than 10%

Functions

• Finance