Front Office Trade Surveillance VP
| Company | Truist |
|---|---|
| Location | Charlotte, NC, USA, Atlanta, GA, USA |
| Salary | $140000 – $140000 |
| Type | Full-Time |
| Degrees | Bachelor’s, MBA |
| Experience Level | Senior, Expert or higher |
Requirements
- BA/BS degree
- Licenses: Series 7, Series 99, Series 24, Series 53
- Minimum of 7 years of experience within the financial services industry.
- Strong understanding of trading activities in one or more financial asset classes (Equities, Fixed Income, or Derivatives).
- Ability to engage and communicate effectively with management, traders, and internal risk partners.
- Strong understanding of SEC/FINRA or CFTC/NFA regulations regarding secondary trading.
Responsibilities
- Identifies risks within Sales, Trading & Research where surveillance programs would support risk mitigation
- Designs and implements surveillance programs
- Works with traders, compliance, and other risk functions to review trade surveillance alerts and investigate potential compliance issues.
- Ensures effective research and documentation alerts
- Performs surveillance and trading activities to identify potential instances of market manipulation, unfairness to clients, or unauthorized trading
- Supports one or more LOBs in performing trade and electronic communication surveillance activities, working with traders, compliance, and other risk functions to review alerts and investigate potential compliance issues.
- Performs surveillance of trading activities to identify potential instances of market manipulation, unfairness to clients, or unauthorized trading.
- Research and document exceptions.
- Assist in the design and implementation of surveillance reviews.
- Identify, develop and deliver automated solution opportunities to drive surveillance initiatives.
- Maintain appropriately detailed written records of surveillance reviews, investigations and trade surveillance activities, including escalation results.
- Develops subject-matter expertise in trading activities and procedures, rules and regulations governing trading activities.
Preferred Qualifications
- MBA degree
- Trade, as well as Regulator or institutional broker dealer compliance experience preferred.