Markets and Surveillance Compliance Officer

Compliance
Published
11th April 2017
Category
Job Type
Permanent
Salary
Competitive

Description

BSM Group are representing a client seeking a Markets and Surveillance Compliance Officer

Key Responsibilities:

Primary:

  • To deliver a solution to trade surveillance requirements globally. This includes MAR/MiFID II
  • interpret regulations and scope out requirements for the firm
  • design of detection algorithms and alert thresholds
  • design of user interfaces and process workflows
  • investigating alerts generated and reviewing related reports
  • escalation and reporting of suspicious activity as necessary
  • Track and react to global regulations covering algorithmic trading
  • Reviewing and providing compliance input into the code/algo/strategy release control framework
  • assessment of current control framework and documentation
  • providing compliance input/approval when necessary for code release
  • Development of policies and procedures for the above

Secondary:

  • Be a point of contact for compliance
  • Assist with the broader compliance program
  • Compliance training and education
  • Policy review and development
  • Thematic reviews
  • Additional compliance monitoring
  • Delivery of MI and other reports
  • General business advisory
  • Investigations and enforcement
  • Regulatory filing
  • Regulatory liaison
  • Compliance approval processes

If you require any more information please contact Gregory Pallay: gregorypallay@bsmgroup.com or (646) 618 8862

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