What are the responsibilities and job description for the Surveillance – Private Bank Surveillance Compliance Officer - Associate position at Avesta Computer Services?
Job Title - Surveillance – Private Bank Surveillance Compliance Officer
Corporate Title - Associate
Location - Jacksonville, FL
Overview
Compliance is seeking an Analyst within the Private Bank Surveillance team to monitor and investigate trading related activities. The primary function of the role is detecting, monitoring, examining, and investigating trading activities of Bank Private Bank (PB) to identify possible violations of market abuse and of the Firm’s Trading Policies.
What We Offer You
- A diverse and inclusive environment that embraces change, innovation, and collaboration
- A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days
- Employee Resource Groups support an inclusive workplace for everyone and promote community engagement
- Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits
- Educational resources, matching gift and volunteer programs
What You’ll Do
- Conduct daily surveillance of Firm and Customer trading activity to ensure compliance with appropriate rules, regulations, and firm policies
- Perform research and investigations to identify the reason for potential violations
- Document research results and escalate violations and/or suspicious activity according to firm policy and regulatory requirements
- Work with members of the Firm’s Business Lines, Compliance, Legal, and other departments, to identify, analyze, investigate, and resolve issues
- Liaise with Information Technology and Senior Management in the development, review, and testing of surveillance models
- Work on ad-hoc Surveillance Projects as needed
Skills You’ll Need
- Moderate relevant work experience in regulatory, audit, compliance, risk, surveillance, or equivalent
- Minimum of a College degree (prefer in Finance, Business or Accounting) or equivalent work experience
- Knowledge/experience with financial markets and an array of financial products (including stocks, bonds, derivative products); Knowledge of Wealth Management a plus
- The ability to prioritize and communicate effectively across multiple teams and functions
- Self-motivated, proactive and ability to take initiative
Skills That Will Help You Excel
- Excellent verbal communication and written skills
- A proactive approach to tasks and responsibilities
- Ability to multi-task effectively and handle change well
- Advanced PowerPoint and MS Excel (pivot tables, experience with large data sets, proficient in data manipulation and presentation)
- Team player with great attitude, interpersonal skills, and strong work ethic
