Vice President, Trading Surveillance Compliance

Vice President, Trading Surveillance Compliance

About the Company

Digitally-driven brokerage & wealth management platform

Industry
Financial Services

Type
Public Company

Employees
51-200

About the Role

The Company is seeking a Vice President for Trading Surveillance Compliance. The successful candidate will be tasked with the critical responsibility of monitoring, investigating, and escalating potential market abuse and regulatory violations across various asset classes, including equities, options, and digital assets. This role is pivotal in ensuring the firm's compliance with FINRA, SEC, and other regulatory requirements. The VP will be expected to have a deep understanding of trading surveillance, with a focus on equities, options, and crypto, and possess strong investigative skills, particularly in the area of market manipulation. Hands-on experience with NASDAQ SMARTS is essential, and the role involves close collaboration with Compliance, Legal, and Operations teams. Applicants for the VP position must have a minimum of 7 years of hands-on trade surveillance experience, with a strong preference for those who have worked at a FINRA member firm, clearing firm, exchange, or regulator. The role requires a candidate with a solid understanding of U.S. securities market structure, order types, and direct experience in handling FINRA investigations and Blue Sheet requests. A Series 7 and Series 24 license is mandatory. The ideal candidate will also have a proven track record of preparing and documenting regulatory issues, responding to inquiries, and coordinating with internal stakeholders to address and remediate issues. The ability to stay current on regulatory developments and enhance surveillance rules is crucial.

Functions

• Finance