Front Office Trade Surveillance VP
Front Office Trade Surveillance VP
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Job Description
The position is described below. If you want to apply click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application youll be invited to create a profile which will let you see your application status and any communications. If you already have a profile with us you can log in to check status.
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Regular or Temporary:
RegularLanguage Fluency: English (Required)
Work Shift:
1st shift (United States of America)Please review the following job description:
An independent team within CIB Sales Trading and Research that supports the Surveillance program within CIB. The team performs trade surveillance activities working with traders compliance and other risk functions to review trade surveillance alerts and investigate potential compliance issues. Responsible for the selection training development and evaluation of the teammates supervised.Essential Duties and Responsibilities
Following is a summary of the essential functions for this job. Other duties may be performed both major and minor which are not mentioned below. Specific activities may change from time to time.
1. Identifies risks within Sales Trading & Research where surveillance programs would support risk mitigation
2. Designs and implements surveillance programs
3. Works with traders compliance and other risk functions to review trade surveillance alerts and investigate potential compliance issues.
4. Ensures effective research and documentation alerts
5. Performs surveillance and trading activities to identify potential instances of market manipulation unfairness to clients or unauthorized trading
1. Supports one or more LOBs in performing trade and electronic communication surveillance activities working with traders compliance and other risk functions to review alerts and investigate potential compliance issues.
2. Performs surveillance of trading activities to identify potential instances of market manipulation unfairness to clients or unauthorized trading.
3. Research and document exceptions.
4. Assist in the design and implementation of surveillance reviews.
5. Identify develop and deliver automated solution opportunities to drive surveillance initiatives.
6. Maintain appropriately detailed written records of surveillance reviews investigations and trade surveillance activities including escalation results.
7. Develops subject-matter expertise in trading activities and procedures rules and regulations governing trading activities.
Required Qualifications:
The requirements listed below are representative of the knowledge skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.1. BA/BS degree
2. Licenses: Series 7 Series 99 Series 24 Series 53
3. Minimum of 7 years of experience within the financial services industry.
4. Strong understanding of trading activities in one or more financial asset classes (Equities Fixed Income or Derivatives).
5. Ability to engage and communicate effectively with management traders and internal risk partners.
6. Strong understanding of SEC/FINRA or CFTC/NFA regulations regarding secondary trading.
Preferred Qualifications:
1. MBA degree
2. Trade as well as Regulator or institutional broker dealer compliance experience preferred.
The base salary for this position is $140000.
General Description of Available Benefits for Eligible Employees of Truist Financial Corporation: All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits though eligibility for specific benefits may be determined by the division of Truist offering the offers medical dental vision life insurance disability accidental death and dismemberment tax-preferred savings accounts and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment along with 10 sick days (also prorated) and paid holidays. For more details on Truists generous benefit plans please visit our Benefits site. Depending on the position and division this job may also be eligible for Truists defined benefit pension plan restricted stock units and/or a deferred compensation plan. As you advance through the hiring process you will also learn more about the specific benefits available for any non-temporary position for which you apply based on full-time or part-time status position and division of work.
Truist is an Equal Opportunity Employer that does not discriminate on the basis of race gender color religion citizenship or national origin age sexual orientation gender identity disability veteran status or other classification protected by law. Truist is a Drug Free Workplace.
EEO is the LawPay Transparency Nondiscrimination Provision E-Verify
Required Experience:
Exec
Employment Type
Full-Time
