Assist in the development and maintenance of regulatory compliance programs at the firm, including handling surveillance alerts. Major areas of responsibility include:
• Management and maintenance of trade surveillance alert systems and procedures
o Resolving system-generated trade surveillance and best execution alerts
o Updating procedures related to trade surveillance
o Updating system internal user guide
o Communicating with system experts to resolve issues and make enhancements
• Management and maintenance of employee personal trading system and procedures
o Resolving system-generated alerts
o Training employees in personal trading guidelines and requirements
o Resolving data load errors
o Updating system internal user guide
o Communicating with system experts to resolve issues
• Assistance in updating compliance policies and procedures
• Assistance with compliance reviews, testing and monitoring, and recordkeeping
• Assistance with SEC & FINRA examination preparation and other regulatory inquiries and/or
inspections
• Assistance with required regulatory filings
• Interface with the business team and other management and compliance personnel on regulatory
compliance matters, including trade surveillance alerts.
• Special projects as assigned
Seniority level
Associate
Employment type
Full-time
Job function
Finance
Industries
Financial Services
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