Job DescriptionWe're seeking a future team member for the role of
Vice PresidentMarket Abuse Trade Surveillance, to join our Core Compliance team. This role is located in Lake Mary, FL
In this role, you'll make an impact in the following ways:
- Analyzing and documenting the disposition of trade alerts for potential market manipulation abuses including but not limited to: Trading Ahead of News (Insider Dealing), Wash Sales, Spoofing, Marking the Open/Close
- Assisting with the management of Compliance and Regulatory risks.
- Responding to and participate in the preparation of responses to regulatory requests when required.
- Work with internal audit, compliance testing and other internal stakeholders.
- Promoting a strong regulatory mindset across the lines of business.
- Provide guidance and interpretation of regulatory requirements.
- Ensure that the control framework meets regulatory expectations and the expectations of senior management and regulators.
- Work to build control structures that support the monitoring of orders and trades to provide robust surveillance.
- Perform deep dives and identify areas that may need additional surveillance controls.
- Assist in the unification of MI and systems to drive best practice across the Controls Team.
- Create documentation to support surveillance activities.
- Ensuring documentation and systems infrastructure remain appropriate.
- Actively participate in surveillance meetings as required.
- Assist with annual parameter reviews and risk assessments as needed.
To be successful in this role, we're seeking the following:
- Relevant experience in a similar Surveillance, Control or Compliance role.
- Experience gained from a Regulatory organization would be beneficial.
- Thorough knowledge of financial markets, including equity, option, FX and fixed income products.
- Strong working knowledge of the applicable regulatory principles and rules (SEC, Finra, FCA) that govern market abuse.
- Experience operating surveillance systems, investigating potentially abusive behavior and dealing with Introducing Broker-Dealers and trading staff.
- Investigative skills and an analytical mindset are essential.
- Oral and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.
- Bachelor's degree or master's degree preferred.
Our Benefits and Rewards:
BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life's journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter.
