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VP, Compliance Officer

New York, NY, USA | BGC Partners

  • Industry:
    Financial Services
  • Position Type:
  • Functions:
    Legal / Compliance
  • Experience:
    5-7 years
    7-10 years
Job Description:
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The Firm is looking for an individual who has extensive knowledge of trade surveillance, BSA/Patriot Act and financial crimes. The role will primarily focus on managing and maintaining the organization’s obligations as it relates to trade surveillance and monitoring.

Responsibilities include but are not limited to:

  • Provide assistance in implementing trade surveillance processes and controls. This includes monitoring exception reports to identify potential market manipulation and suspicious activity as well as testing and implementing new surveillance controls

  • Lead surveillance program by creating, modifying, and reviewing reports and alerts

  • Review, investigate and analyzetrade data as well as responding to regulatory inquiries from each of the major regulatory bodies (e.g. FINRA, SEC, CFTC)

  • Aid in the improvement of tools to monitor, analyze, and report suspicious activity

  • Assist in researching and responding to regulatory inquiries and exams

  • Ensure consistent and timely feedback on cases that have been escalated

  • Provide relevant compliance reporting to ensure the completion and proper analysis of trade escalations that have been conducted

  • Ensure detailed and prompt investigation of all AML incidents and cases

  • Manage the resolution of cases through internal and external communications

  • Aid in general compliance awareness and refresher training

Skill & Education Requirements:

  • 5-10 years' experience working in trade surveillance or AML Compliance

  • Strong understanding of equity market structure and best practices regarding equity sales and trading activities similarity with order management systems such as Fidessa and automated surveillance systems such as Smarts

  • CAMS certification is required within 6 months of hire

  • Exceptional analytical and investigative skills

  • Superior written and verbal skills in order to communicate with fellow staff

  • Team player with the ability to work unsupervised

  • Must be able to adapt to working in a fast-paced environment

  • Strong organization skills and attention to detail  

  • Series 7 a plus

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