This role offers excellent exposure to the global regulatory and enforcement landscape. You will partner with the business to ensure the Compliance surveillance risk and issues are identified and addressed timely and effectively. You will drive and maintain effective compliance surveillance and monitoring program, analyze trade surveillance and e-communications alerts, monitor personal trading activities, perform periodic reporting of surveillance findings, etc.
To succeed in the role, you should have at least 12 years of relevant working experience in Trade/Market Compliance Surveillance in the financial services industry, preferably with a securities exchange or securities regulator. You should possess excellent knowledge about financial markets and experience in asset classes such as Equities, Fixed Income, Derivatives, Commodities, and FX. You have excellent interpersonal and stakeholder interfacing skills and the ability to manage multiple compliance/projects.
Interested applicants, please reach out to helen@qontelseearch.com . Your interest will be treated with the strictest confidentiality. Only successful candidates will be notified.
EA R1105493
