Vice President, Compliance & Control

Job description

We’re seeking a future team member for the role of Market Abuse Trade Surveillance Analyst, 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...