We?re seeking a future team member for the role ofVice President Market Abuse Trade Surveillance,to join our Core Compliance team. This role is located in Lake Mary, FL
In this role, you?ll make an impact in the following ways:
- Analyzing and documenting the disposition of trade alerts for potential market manipulation abuses including but not limited to: Trading Ahead of News (Insider Dealing), Wash Sales, Spoofing, Marking the Open/Close
- Assisting with the management of Compliance and Regulatory risks.
- Responding to and participate in the preparation of responses to regulatory requests when required.
- Work with internal audit, compliance testing and other internal stakeholders.
- Promoting a strong regulatory mindset across the lines of business.
- Provide guidance and interpretation of regulatory requirements.
- Ensure that the control framework meets regulatory expectations and the expectations of senior management and regulators.
- Work to build control structures that support the monitoring of orders and trades to provide robust surveillance.
- Perform deep dives and identify areas that may need additional surveillance controls.
- Assist in the unification of MI and systems to drive best practice across the Controls Team.
- Create documentation to support surveillance activities.
- Ensuring documentation and systems infrastructure remain appropriate.
- Actively participate in surveillance meetings as required.
- Assist with annual parameter reviews and risk assessments as needed.
To be successful in this role, we?re seeking the following:
- Relevant experience in a similar Surveillance, Control or Compliance role.
- Experience gained from a Regulatory organization would be beneficial.
- Thorough knowledge of financial markets, including equity, option, FX and fixed income products.
- Strong working knowledge of the applicable regulatory principles and rules (SEC, Finra, FCA) that govern market abuse.
- Experience operating surveillance systems, investigating potentially abusive behavior and dealing with Introducing Broker-Dealers and trading staff.
- Investigative skills and an analytical mindset are essential.
- Oral and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.
- Bachelor?s degree or master?s degree preferred.
At BNY, our culture allows us to run our company better and enables employees? growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world?s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.
Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance ? and this is what #LifeAtBNY is all about. Join us and be part of something extraordinary.
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