Vice President, Fixed Income,Trade Surveillance
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Location
New York, NY
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Sector:
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Job type:
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Salary:
$160,000 - 170,000
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Contact:
Connor Dueñas
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Contact email:
c.duenas@hamlynwilliams.com
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Salary high:
0
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Salary low:
0
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Published:
about 2 months ago
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Expiry date:
2023-04-30
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Startdate:
ASAP
We're working with a top Canadian banking firm who are looking for a VP of Fixed Income Trade Surveillance to build out their growing Surveillance Team.
What you'll be doing:
- Perform E-mail and phone call reviews of employees to ensure the appropriateness of communications
- Review surveillance reports; document and report anomalies and trends to your supervisor,
- Assist in maintaining up-to-date policies and procedures
- Partner closely with Compliance and Supervision colleagues in order to monitor Regulatory developments in the context of current rules and industry trends.
What authorities you're entitled to:
- Ability to challenge others about any action in an appropriate and balanced manner. They should also be able to follow up on any concern, question or issue that may arise.
- Overall understanding of the Operating Group and/or assigned Assessable Unit(s) (“AU(s)”)
- Direct access to all operations within their assigned AU(s), which includes access to all documents that the Vice President believes are relevant for the effective execution of their compliance responsibilities;
- Attend meetings the Director believes are relevant for effective execution of the program.
- Appropriate access to all levels of Management in their assigned AU(s) as well as the OGL and the Compliance Group, as required
- Direct access to Trading Desk Heads and Business Managers for escalation &/or clarification of Trading Activities.
What they're looking for:
- Strong product knowledge and understanding of trading activities and applicable regulations.
- Solid knowledge of the Broker-Dealer and Banking Regulations, which include but are not limited to SEC, FINRA, OCC, FRB, CFTC, IIROC, OSFI etc.
- Strong written and oral communication skills
- Strong collaborative skills
- Excellent Excel spreadsheet manipulation and data analytic skills
- Strong relationship management skills; ability to establish and manage multiple stakeholder relationships with the business, within the three lines of defense and with corporate support functions
- Proven project management capabilities and an ability to coordinate the efforts of people and resources not under their direct control
- Ability to read technical compliance material and distill the applicability of the regulations to respective business unit(s)
- Demonstrated analytical, auditing, writing, communications, and presentation skills
- Ability to deal with sensitive issues with tact and discretion
- Excellent judgment and interpersonal skills, who can consult, influence, collaborate, appropriately escalate issues
- Strong analytical skills – analyze the evidence collected on remediated controls and determine if there is substantive conformance with requirements
- Ability to recognize material differences between planned execution and actual practice
- Ability to communicate questions and requests in a professional and clear manner
- Advanced educational degree is desirable – MBA, CPA, or JD.
- Professional certifications are required– Series 7, 63, 24
For more information contact Connor Duenas at Hamlyn Williams at c.duenas@hamlynwilliams.com
(646) 349-2806
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