A foreign bank is seeking a Trades Investigator to support the Capital Markets Surveillance team. Trades Investigators serve a critical function as the second line of defense ( "2LOD ) by independently conducting oversight and validation of the 1LOD/FOCS team’s investigations and reviews to ensure, among other requirements, they are sufficiently complete and robust to meet regulatory expectations. This may also include testing and validation of models, output, thresholds and quality review and analysis of written commentary.
They also proactively stays abreast of regulatory initiatives in the industry and potential risks to the firm in order to monitor for potential market abuse activity, regulatory violations, market manipulation, or suspicious activity or patterns.
Specifics skill sets for this position include:
BA or BS Degree
7 + years of experience with a financial services firm and/or self-regulatory organization in a compliance or regulatory related position;
Experience or specialization in an asset class such as Credit, Rates
Strong knowledge of market regulations, particularly in relation to Fixed Income industry including the rules and regulations of the SEC, CFTC and all exchanges and associations under such federal agencies, including Client, NYSE, CFTC
Exposure to trading desks, electronic trading market and securities industry strongly preferred
Experience with surveillance and case management systems, such as NICE Actimize and SMARTS
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