Job Description
Surveillance & Monitoring
- Monitor and review trading activity for potential market abuse manipulative behavior or other regulatory violations using surveillance tools.
- Investigate alerts and elevate potential issues to senior compliance leadership.
- Track and monitor firm and client positions to ensure compliance with exchange and regulatory position limits.
- Engage with internal stakeholders and exchanges to resolve issues and ensure adherence to applicable limits.
- Conduct periodic testing to ensure the firm’s policies and procedures are followed, particularly around surveillance, trade reporting and position management.
- Assist in the development and execution of the annual compliance testing plan.
- Maintain and update internal compliance policies in response to regulatory ...
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