- Review and follow up on a variety of surveillance / exception reports covering a range of products (equity securities, options, derivatives, corporate bonds, etc.).
- Interact with front office personnel in order to complete his / her reviews.
- Provide a report of their work on a weekly basis.
- The candidate will be expected to stay abreast of current regulatory issues and rule changes as well as be able to work with a variety of groups, including, but not limited to: Front Office, Operations, IT, and Legal.
- Assist staff in responding to and researching for regulatory inquiries
- Strong interpersonal and written/verbal communication skills.
- Strong analytical, problem-solving and organizational skills.
- Great attention to detail.
- Capable of handling multiple, simultaneous, and various ad-hoc requests.
- Demonstrated history of taking initiative.
- Ability to prioritize and work in a dynamic, deadline-focused environment.
- Analytical capability: Able to break down complex problems into simple manageable units, develops solutions for each unit, and integrates them back into the whole. Can absorb ideas quickly and apply then pragmatically
- Risk Management
- Results oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results
- Strong interpersonal effectiveness: is self aware of their own behavior and work style, as well as tolerant of different needs and viewpoints. Demonstrates interest in others opinions and shows consideration, concern and respect for other people feelings
- Communication Skills: excellent verbal, writing and presentation skills with the ability to interact with stakeholders at all levels within the organization and be able to relay complex technical concept to non-technical audience
- Leadership: create an inspiring vision, set direction and motivate others to follow that direction and reach that vision
Technical Skills & Knowledge:
- Advanced experience with Microsoft Word, Excel, and PowerPoint
- Excellent writing skills
- Securities licenses a plus
- The systems which would be a plus would be Tableau, BWISE, SMARTS Broker as well as MS Office.
- Project Management work
Qualifications (Experience, Education, Languages):