Top 4 Vice president of compliance Jobs in Orlando Fl

Vice President, Market Abuse Trade Surveillance
The Bank of New York Mellon Corporation —Lake Mary, FL
- Full-time
- English
- Office
- Master's degree
Senior Vice President, Counsel (Asset Servicing)
The Bank of New York Mellon Corporation —Lake Mary, FL
- Full-time
- Analysis skills
- Senior level
- Communication skills

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Vice President, Market Abuse Trade Surveillance

The Bank of New York Mellon Corporation -
Lake Mary, FL

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Job Details

Full-time

Qualifications

Surveillance operations
Transaction monitoring
Internal controls
Finance
Securities & Exchange Commission
Investigative financial records analysis
English
Financial institution investigation experience
Suspicious activity investigations
Master's degree
Securities law compliance support experience
Bachelor's degree
Compliance documentation
Organizational skills
Securities law
Internal compliance assessments
Monitoring system implementation
Investigative reports
Investigating compliance violations
Regulatory compliance analysis
Senior level
Documentation Handling
Risk assessment implementation
Surveillance data analysis
Communication skills
Audit support
Financial markets knowledge

Full Job Description

We’re seeking a future team member for the role of Vice President Market Abuse Trade Surveillance, to join our Core Compliance team. This role is located in Lake Mary, FL

In this role, you’ll make an impact in the following ways:

Analyzing and documenting the disposition of trade alerts for potential market manipulation abuses including but not limited to: Trading Ahead of News (Insider Dealing), Wash Sales, Spoofing, Marking the Open/Close
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.
Ensuring documentation and systems infrastructure remain appropriate.
Actively participate in surveillance meetings as required.
Assist with annual parameter reviews and risk assessments as needed.

To be successful in this role, we’re seeking the following:

Relevant experience in a similar Surveillance, Control or Compliance role.
Experience gained from a Regulatory organization would be beneficial.
Thorough knowledge of financial markets, including equity, option, FX and fixed income products.
Strong working knowledge of the applicable regulatory principles and rules (SEC, Finra, FCA) that govern market abuse.
Experience operating surveillance systems, investigating potentially abusive behavior and dealing with Introducing Broker-Dealers and 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.
Bachelor’s degree or master’s degree preferred.

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Vice President, Market Abuse Trade Surveillance

Senior Vice President, Counsel (Asset Servicing)

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Senior Vice President, Counsel​ (Asset Servicing)

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Senior Vice President, Counsel (Asset Servicing)