What are the responsibilities and job description for the Compliance Specialist position at Dynamics Executive Search?
Compliance Surveillance Associate (Temporary Assignment)
Our client is hiring on a 6 month assignment a compliance associate to join a Surveillance team within the Compliance Department. The candidate will be an integral member of the surveillance team, reviewing surveillance reports and investigating possible instances of rule or law violations. This position requires strong analytical and communication skills and the desire to take initiative and assume responsibility.
This position reports to the Head of Surveillance and Trading Compliance, based in Manhattan, and works on a hybrid schedule (WFH Mondays & Fridays).
Essential Job Functions
- Perform reviews of trading reports to ensure compliance with all relevant laws, rules and regulations associated with equities markets.
- Work independently to monitor trading behavior to identify potentially inappropriate or fraudulent activity.
- Conduct in-depth analysis and research of potential issues to determine whether trading activities were conducted appropriately.
- Appropriately document and record monitoring activities and investigative steps to resolve issues.
- Refer findings to senior management or colleagues for potential regulatory filings.
- Clearly and concisely communicate with staff at all levels of the organization to evaluate potential issues.
- Partner with IT and other business units to identify opportunities to enhance surveillance reports.
- Support management in addressing action plans which enhance regulatory controls.
- Present Compliance topics at regular meetings with trading staff.
Required Qualifications
- Two years of experience in a regulatory or compliance setting
- Knowledge of equities trading and associated rules and regulations
Preferred Qualifications (Not required)
- Legal training and/or direct regulatory experience
- Experience in OTC markets
