Surveillance Compliance Officer
New York, NY Hybrid
Hamlyn Williams have partnered with a global financial services platform, based in New York, NY, that are looking to hire a Surveillance Compliance officer.
This role is on a hybrid basis three days per-week on site. If you are not able to work on site, please do not apply.
As a Surveillance Compliance Officer, you will:
- Prepare E-communications, Voice, and Trade Surveillance review services to US Broker-Dealer (BD) and FCM (futures commission merchant) business lines.
- Use technical expertise and Surveillance toolset to make determinations on whether or not an alert is a true positive or false positive, closing false positives with proper documentation including explanatory reasoning.
- Produce metrics on Surveillance reviews to the Head of US Surveillance
- Test trade data and OMS/EMS systems to ensure the quality and completeness of data being input to the Surveillance tools.
- Record UAT Review of new scenarios.
- Provide Surveillance expertise to BD and FCM Advisory Compliance, adding context and counsel to the objective response.
- Ensuring compliance with the company s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
As a Surveillance Compliance Officer, you will need:
- B.S. in Finance, Economics, Business, or other related field
- Data analysis and interpretation skills.
- Experience with Surveillance in the financial markets context
- Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
Our client offers generous compensation packages, as well as amazing benefits, PTO and great work-life balance.
Candidate s must be US Citizen, Green Card holders or Permanent Residents to be considered.