Compliance Surveillance Team Lead
TBG | The Bachrach Group - Jacksonville, FL
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Our client is a leading asset management firm. We are seeking a team lead for their trade and communication surveillance team. You will be responsible for risk associated with trading, employee trading and email. Additional responsibilities includingLeading a small teamDemonstrating subject matter expertise of key regulations relating to trade surveillance and electronic communicationsManage implementation of surveillance vendor solutions as neededConduct annual risk assessments risk types are monitored per regulatory requirements and best practicesContribute to projects and change initiatives as requiredEscalate current or emerging risks to Senior Compliance Management as required in a timely fashionRequirementsAdvanced degree (Accounting, Business, Economics or Finance preferred) or equivalent work experienceExperience in Surveillance, Audit, Compliance/Regulatory, Financial Services or RiskDemonstrated expertise with SEC and FINRA rules and regulations.Strong knowledge of securities products and asset classesStrong analytical skills, sound judgment, and strong attention to detailStrong Microsoft Office skills (specifically Excel and PowerPoint)Ability to exercise independent, and informed judgmentOutstanding written and verbal communication skills, with demonstrated ability to think analytically and strategically to solve problems and implement solutionsAble to meet deadlines and handle multiple matters simultaneouslyAbility to collaborate with senior stakeholders and global colleagues across control functions and with the Business on key initiativesPrevious relevant experience in the implementation of vendor solutions (preferred)
Created: 2024-10-09