VP, Compliance - Trade Surveillance, Communications

Manage confidential correspondence and information, escalating issues as needed.,Stay informed about practices, procedures, and emerging trends in compliance.,Identify and manage risks, escalating non-standard or high-risk activities.,Conduct reporting and analysis to assess program effectiveness and make recommendations.,Monitor service and productivity, implementing continuous improvements.,Acquire and apply discipline expertise, guiding others.,Adhere to internal policies, procedures, and regulatory guidelines.,Keep abreast of emerging regulatory requirements and assess impacts.,Maintain a culture of risk management and control.,Familiarize with key stakeholders including front office, Technology, and Operations.,Build relationships with the Compliance Advisory team.,Coordinate requests with business partners and track compliance initiatives.,Prepare summaries, communications, reports, and presentations for management and regulators.,Proactively identify matters requiring review and escalation.,Participate in team activities, fostering a positive work environment.,Network with Global Surveillance and wider Compliance teams.,Provide coverage for surveillance modules and participate in discussions.,Understand new communications surveillance modules and tools.,Stay current on developments and enhance business knowledge.,Inform others on project status and day-to-day activities.,Assist colleagues, provide training, coaching, and guidance.,Contribute to a fair and equitable environment.,Act as a brand ambassador for the bank.,Adhere to T+1 timeline for communications surveillance.,Analyze alerts and data for potential violations of laws, rules, and firm policies.,Stay updated on regulatory changes and trends in communications surveillance (e.g., market abuse).,Identify matters for additional review and escalate to Surveillance Management and Advisory Compliance.,Develop a thorough understanding of market manipulation surveillance patterns and identify enhancements.,Update case management tools and follow up on open items.,Coach and educate new joiners on compliance training.,Execute complex requests and escalations.,Engage in consultation for calibration and contribute ideas for improvement.,Support audit activities with documentation and subject matter expertise.,Participate in critical communications surveillance projects.,Contribute to Surveillance department meetings.,Work closely with Advisory Compliance, Trading desks, and Technology.,Support surveillance system enhancements through calibration, alert review, and parameter changes.,Provide support to regional Compliance teams for regulatory risk remediation.

Undergraduate degree required,5-10 years of experience in Surveillance in Communications, preferably at a peer firm or regulator,Relevant professional designations such as FINRA Certified Compliance Officer Program,Basic knowledge of Equities, Fixed Income and FX,Knowledge of the US markets and regulations of communications by Sales and Trading staff within Markets,Knowledge of trading in Equities, Options, Futures, Fixed Income products and FX and Commodities,Bachelor's degree or progressive work experience,Minimum 5-7 Years of related experience

Bachelor's Degree

Occasional Domestic Travel