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Tier-1 brand, metro location, mid-level 3-6 years, and generalist compliance scope increase applicant competition.
Role requires equities regulatory and surveillance expertise, making skills highly specific to financial institutions.
Explicit 3–6 years requirement plus specific compliance and surveillance experience makes screening moderately strict.
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Oversee and investigate internal policy breaches daily within Institutional Securities Group, escalating issues and educating stakeholders as necessary.
Create and present management reports highlighting issues, trends, and regulatory changes while supporting business unit projects to enhance procedures and protocols.
Drive standardization and automation of surveillance processes through engagement with regional teams and risk/compliance contacts, ensuring adherence to regulatory and firm requirements.
3-6 years of experience in Compliance, Risk Management, Trade Surveillance, or Trading Support focusing on sales and trading issues.
Management Graduate or Master’s degree in Commerce or Finance background.
Knowledge of Equities markets and applicable regulatory rules and regulations.
Proficiency in MS Office applications (Word, Excel, PowerPoint).
Experienced in handling front office advisory, escalation, and control ownership roles in compliance or surveillance within Institutional Securities or similar financial environment.
Strong understanding of internal control environments, risk escalation, and regulatory compliance processes.
Capable of working independently with exceptional organizational skills and attention to detail in a global, multidisciplinary team setting.