Join a dynamic team dedicated to innovation and excellence in risk management. As a Surveillance Associate, you'll play a pivotal role in identifying and mitigating market misconduct risks, collaborating with global and regional teams.
As a Compliance, Conduct and Operational Risk (CCOR) - Surveillance Associate in Asset Management Trade Surveillance, you will be instrumental in conducting reviews of trade surveillance alerts related to market manipulation and misconduct. You will collaborate with Line of Business Compliance, Management, and global/regional Surveillance teams to promote and enhance our global program. This role demands strong attention to detail, analytical skills, and the ability to manage multiple tasks in a fast-paced environment.
Job Responsibilities:
- Review trade surveillance alerts and analyze trading and market activity to detect and deter potential market misconduct and other manipulative behaviors.
- Escalate possible violations of rules, regulations, and procedures to management.
- Assist in the design, testing, and implementation of new alerts and enhancements.
- Conduct ad hoc and non-alert-based reviews for potential violations of policies, laws, rules, and regulations.
- Manage multiple projects in a fast-paced environment.
- Interface with compliance officers, legal, and other stakeholders to review and resolve potential compliance issues.
- Assist in establishing internal control processes and developing/updating procedures.
- General administration, reporting, and process document maintenance.
- Engage with regional LOB/Core Functional Compliance Teams, various country compliance in US and EMEA Surveillance Teams, senior business management, technology, and operations.
Required Qualifications, Capabilities, and Skills:
- Bachelor's degree required.
- 5+ years of experience in a Control/Compliance role in Wealth Management or Asset Management.
- Familiarity with Asset and Wealth Management investment strategies and products, including mutual funds, structured products, stocks, fixed income, and derivatives.
- Experience in reviewing alert scenario effectiveness and threshold calibration.
- Excellent analytical skills and strong attention to detail.
- Strong interpersonal, written, and oral communication skills.
- Teamwork skills; flexibility in work style and ability to collaborate with stakeholders and colleagues at all levels.
- Strong PC skills, including Microsoft Excel, SharePoint, Word, PowerPoint, and other reporting tools.
- Ability to establish credibility and strong partnerships with senior business leaders, control functions, and corporate partners globally.
- Proven ability to communicate effectively in English at all levels, both orally and in writing.
Preferred Qualifications, Capabilities, and Skills:
- Qualified as a securities investment analyst in accordance with the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises
- Knowledge of trade and communications surveillance processes and systems such as SHARP / Reliance / Connected Archive is advantageous.
- Passed an examination for associated persons of securities investment trust and consulting enterprises held by an institution engaged by the SITCA
- Passed a senior securities specialist examination held by an institution engaged by a securities dealers association or has obtained certification of passage of such an examination issued by the former competent authority for securities