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BNY · 3 days ago

Vice President, Surveillance Analyst, Compliance Surveillance

Lake Mary, FL

Full-time

Onsite

Senior Level

BNY is a leading global financial services company that influences nearly 20% of the world’s investible assets. The Market Abuse Surveillance Analyst will manage compliance and regulatory risks, support surveillance activities, and provide guidance on regulatory requirements.

Financial Services

Responsibilities

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

Help train and mentor junior members of the team as needed

Ensuring documentation and systems infrastructure remain appropriate

Actively participate and lead surveillance meetings as required

Assist with annual parameter reviews and risk assessments as needed

Assist with development and delivery of annual training programs as required

Qualification

Surveillance systemsFinancial markets knowledgeRegulatory principles knowledgeInvestigative skillsAnalytical mindsetOral communication skillsWritten communication skillsTeam mentoring

Required

Relevant experience in a similar Surveillance, Control or Compliance role

Thorough knowledge of financial markets, including FX, fixed income and equity products

Strong working knowledge of the applicable regulatory principles and rules, such as market abuse, best execution and information barriers would be advantageous

Experience operating surveillance systems, investigating potentially abusive behavior and dealing with 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

Preferred

Experience gained from a Regulatory organization would be beneficial

Bachelor's degree or master's degree preferred

Benefits

Highly competitive compensation

Benefits

Wellbeing programs

Generous paid leaves

Paid volunteer time

Company

BNY

Glassdoor3.6

For more than 240 years BNY has partnered alongside clients, using its expertise and platforms to help them operate more efficiently and accelerate growth.

Founded in 1784