VP /AVP Monitoring and Surveillance Compliance
Core
Senior compliance professional responsible for trade surveillance, transaction monitoring, and investigations to detect market abuse and suspicious activities across traditional and virtual asset products.
Role type
Senior IC compliance officer (monitoring & surveillance)
Builds
Trade surveillance and transaction monitoring programs for a financial institution
Domain
Financial services, regulatory compliance, market abuse prevention
Required skills
Trade surveillance, transaction monitoring, regulatory reporting, market abuse risk analysis, system rule enhancement, stakeholder collaboration, suspicious activity reporting, financial instruments knowledge, regulatory frameworks (AML/CTF)
Preferred skills
Programming (VBA, Python), AI tools for compliance, automated surveillance implementation
Technologies
Trade surveillance systems, VBA, Python, AI tools
Responsibilities
Conduct compliance surveillance and investigations; monitor client fund transactions; respond to regulator and exchange inquiries; analyze market abuse risks; enhance surveillance rules and parameters; collaborate on system implementations; report suspicious activities to authorities; manage ad hoc compliance projects.
Seniority
Senior, hands-on IC