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In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the firm. We are currently offering the opportunity for a dynamic and engaging Compliance Professional to join our Monitoring and Surveillance team, as a Senior Manager. The Senior Manager is an individual contributor and will conduct monitoring and surveillance to identify potential issues relating to Employee, Trading and Retail Sales Practice. The Senior Manager will continually evaluate and make recommendations to enhance monitoring and surveillance, drive efficiencies, accommodate new products and regulations, as well as develop and foster strong partnerships across Compliance, Legal, Corporate Risk Management, and with business partners.
What youre good at
Facilitate firm-wide Watch List, Restricted List, and Schwab Trade Window monitoring for executives with access to Material Non-Public Information (MNPI).
Manage Investment Advisor Code of Ethics monitoring including Access Person identification and onboarding, personal trading pre-clearance and restrictions, political contributions and gifts and entertainment.
Evaluate and analyze trading activity and surveillance results for possible violation of law, regulation, firm policies or for other irregularities.
Assist in alert parameter refinement and process enhancement with the goal of increased efficiencies and improvements
Assist with identifying/compiling Compliance risk metrics and drafting management reporting and governance committee materials.
Review surveillance alerts, analyze data for trend identification, and follow through on applicable escalation and issues management.
Keep current on regulatory developments and enterprise wide policies and procedures necessary to effectively and adequately conduct monitoring and surveillance
Perform other duties and special projects, as may be assigned.
What you have
At least 8 years of experience within financial services with a strong understanding of Employee, Trading, and/or Retail Sales Practice monitoring and surveillance
5 years of experience in a Monitoring and Surveillance role
Understanding of rules and regulations from one or more of the following regulators: OCC, SEC, FINRA, CFTC, NFA, DOL, as well as various State authorities
Highly developed analytical, time management, organization, project management and prioritization skills; ability to work under deadlines is required.
Strong understanding of the role of Compliance and the relationship between Compliance and business partners.
Ability to work independently on multiple complex surveillance scenarios, and provide prompt analysis.
Strong written and oral communication skills
Bachelor's degree or equivalent business experience required
The following qualifications are preferred:
Professional licensing and/or compliance certifications (e.g. FINRA Series 7, 66)