AVP - Compliance - Control Room & Trade Surveillance - Investment Banking Captive

AVP - Compliance - Control Room & Trade Surveillance - Investment Banking Captive

Job Responsibilities :

- Formulate and implement the Firm's Information Barrier and other policies and procedures with respect to Investment Banking Capital Markets, International Wealth Management, Global Markets, and Corporate Function personnel.

- Review the firm's Equities, Fixed Income, Derivatives trading against the Restricted and Watch Lists.

- Perform other surveillance as necessary including e-mail reviews and monitoring access to syndicate level information.

- Assist in regional and global projects with IT and others relating to surveillance.

- Perform position checks for various regulatory reporting and other purposes.

- Advise Sales and Trading on the implementation and execution of Restricted List trades.

- Pre-clear proprietary trades in accordance with the Firm's policies on large equity holdings.

- Pre-clear exercise of voting rights relating to proprietary positions in equity instruments.

- Advise employees on the Firm's employee trading policy and pre-clear personal account trades.

- Administer the Firm's Access Person policies in conjunction with employee trading in Firm securities.

Educational/Experience Qualifications :

- At least 5+ year's relevant experience within Financial Services, ideally within a Compliance Control Room / Trade Surveillance function within a global investment bank across asset classes.

- Ability to handle confidential information and matters with discretion.

- Flexibility and experience to manage multiple, high priority tasks and adjust to shifting priorities, while meeting deadlines.

- Extremely detailed oriented, with solid follow-up.

- Ability to work independently and interact with all levels of management in a professional and positive manner.

- Solid interpersonal, communication and presentation skills.

- Solid analytical and process management skills.

- Proficiency in Actimize, Bloomberg and Microsoft Office products (Word, Excel, Outlook & PowerPoint) and the ability to quickly learn other computer applications).