Trade Surveillance Compliance Officer
RESPONSIBILITIES
The primary areas of responsibility will be performing core compliance “Control Room” functions which include, but are not limited to:
• Trading surveillance
• Regulatory reporting (e.g., Section 13, EU Short Sale Reporting)
• Maintenance of proxy voting and corporate actions
• Assist in implementing information barrier policies and procedures by maintaining the restricted list and handling conflicts clearance
• Research provider review and clearance
• Review of documentation associated with Equity Capital Markets transactions (e.g., Exchange Agreements, IPO/Secondary SEC filings)
• Chaperoning interaction between Company Management and Investment personnel
• Providing advice and guidance to business partners
• Monitor employee personal trading and electronic communications
• Perform compliance testing/surveillance
• Make recommendations to develop or enhance business unit procedures as they relate to the Compliance Control Room
QUALIFICATIONS
• At least 3 years relevant experience with a bachelor’s degree
• Experience working on an equity or convertible bond trading desk is a plus
• Strong sense of ethics, accountability, and judgment
• Highly organized, detail oriented and proactive
• A working knowledge of the US, UK and EU financial regulation framework including applicable SEC, NFA and FCA rules and reporting requirements, and relevant industry standards
• Ability to work independently as well as part of a team
• Ability to comfortably interact with senior professionals in a professional setting
• Strong verbal and written communication skills
• Strong MS Excel and PowerPoint skills