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 including

• Leading a small team
• Demonstrating subject matter expertise of key regulations relating to trade surveillance and electronic communications
• Manage implementation of surveillance vendor solutions as needed
• Conduct annual risk assessments risk types are monitored per regulatory requirements and best practices
• Contribute to projects and change initiatives as required
• Escalate current or emerging risks to Senior Compliance Management as required in a timely fashion

Requirements

• Advanced degree (Accounting, Business, Economics or Finance preferred) or equivalent work experience
• Experience in Surveillance, Audit, Compliance/Regulatory, Financial Services or Risk
• Demonstrated expertise with SEC and FINRA rules and regulations.
• Strong knowledge of securities products and asset classes
• Strong analytical skills, sound judgment, and strong attention to detail
• Strong Microsoft Office skills (specifically Excel and PowerPoint)
• Ability to exercise independent, and informed judgment
• Outstanding written and verbal communication skills, with demonstrated ability to think analytically and strategically to solve problems and implement solutions
• Able to meet deadlines and handle multiple matters simultaneously
• Ability to collaborate with senior stakeholders and global colleagues across control functions and with the Business on key initiatives
• Previous relevant experience in the implementation of vendor solutions (preferred)