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SVP Surveillance & Supervision

  • Location

    Los Angeles

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:


  • Contact:

    Edward Maglalang

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    22 days ago

  • Expiry date:


  • Startdate:


Responsibilities include, but are not limited to:

  • Supervise over transaction reporting, pre-trade approval, personal activities, etc.
  • Review and approve disclosures/confirms for accuracy and compliance with regulatory requirements for equity and municipal institutional trading businesses, social media/email review, daily trading exception reports, market access controls for equities and fixed income trading desks, best execution review, SEC Reg SHO, Reg NMS, SEC Rules 605/606
  • Establish objectives and develop WSPs and Desktop Procedures to ensure alignment with Firm policies
  • Ensure accuracy and integrity of monthly supervisory checklists and quarterly risk assessment reports to business unit leaders to ensure there are no breaches in supervision
  • Serve as a point of contact for issues that cannot be resolved; address system supervisory and emerging business issues, escalating as required to the business unit heads and the Firm’s Compliance Department. 
  • Review and approve of research disclosures; offer supervisory advice to executive-level stakeholders and other supervisors with the ECM & IB businesses

Experinced and Skills

  • Strong working knowledge of SEC, FINRA, MSRB rules and their applicability to an Equity and Municipal Trading, Equity Research and full-service Investment Banking business
  • Ability to prioritize and handle multiple tasks simultaneously, and, in some cases, with short deadlines and without sacrificing accuracy or efficiency
  • Experience interacting with senior business leaders and ability to build effective relationships with internal/external stakeholders
  • Finra Series 57 Required or willing to obtain.