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Assistant Vice President – Global Equities & Derivatives, Surveillance Analyst

Type de contrat

Standard / Permanent


US-NY-New York

Métier / fonction




Business Overview:
The Capital Markets Surveillance Team (CMS) is part of the Compliance Risk Management Group within the Compliance Department. CMS is responsible for working with Business Management, Compliance Advisory, and IT to create surveillance reports. It then analyzes transaction alerts generated from the Firm’s activity monitoring systems to detect potential regulatory violations, market manipulation, or suspicious activity. Matters of importance and recommended corrective action are brought to the attention of Senior Management and tracked to resolution. CMS plays a critical role in working with the front and back office staff to perform investigations, when necessary, and to determine and coordinate corrective action.
The Capital Markets Surveillance Global Equities and Commodity Derivatives Surveillance analyst reports to the GECD CMS Manager. CMS is a specialized unit within Ethics and Compliance N.A. This position is responsible, in part, for working with Business Management, Compliance Advisory, and IT to create surveillance reports, ensure that these reports are working as intended, and conduct user acceptance testing and document testing. The CMS Analysts is also responsible for closing alerts with quality explanations, and handling and analyzing various transaction alerts derived from Actimize, CMS’s automated account activity monitoring system, and as well as internally generated exception reports.
The CMS GECD Surveillance Analyst does the following:
  • Conducts transaction surveillance of the Global Equities and Commodity Derivatives business units in order to detect potential regulatory violations, identify suspicious activity and items requiring corrective action. Each report surveyed for is connected with specific SEC, CFTC, FINRA, NFA and other SRO regulations;
  • Analyzes transaction activity detected, documents his/her findings, provides written explanations to the transaction detail, and conducts investigations into any transactional issue that may arise during the course of his/her analysis;
  • Contacts Front Office Salespeople, Traders, Supervisors and Compliance Advisory staff so that an appropriate resolution may be achieved;
  • Raises matters of importance to Departmental Management for discussion, participates in Team meetings, conducts investigations into potential violative and/or suspicious activity and if warranted, refers cases for Suspicious Activity Reports filing with the Financial Crimes Enforcement Network for law enforcement purposes;
  • Determines whether  the bank is in compliance with applicable industry rules and regulations and also brings reputational risk items to the attention of Management;
  • Ensures that CMS Procedures are current, provides backup support in case of Team Member absence and works on various departmental related projects;
  • Conducts user acceptance testing (UAT) and documents such testing

The desired skills for this position include:
  • 3 + years of experience with a financial services firm and/or self-regulatory organization in a compliance or regulatory related position;
  • Experience with surveillance and case management systems, such as NICE Actimize, SMARTS Broker, and Syfact.
  • BA or BS Degree a must, Master’s Degree a plus; and
  • Strong knowledge of U.S. securities, derivatives, futures and banking regulations, including the rules and regulations of the SEC, CFTC and all exchanges and associations under such federal agencies, including FINRA, NFA, NYSE, CBOE, ISE, CME, NYMEX and ICE US;
  • Strong knowledge of equities, options and commodity derivatives;
  • Working knowledge of securities and futures sales practice, marketplace and operational regulations and experience with clearing and surveillance applications;
  • Excellent interpersonal and communication skills with the ability to interact effectively with front and back office staff and senior management;
  • Fundamental analytical and investigative skills;
  • Strong organizational and project management skills and attention to detail;
  • Ability to manage multiple compliance reviews and projects at the same time and meet timely deadlines;
  • Ability to apply knowledge of regulations to numerous types of trading activities and operational arrangements in addition to interpreting the effect of new regulations on these activities;
  • Strong computer skills including MS Office Suite;
FINRA Registrations:
  • Securities licenses preferred (Series 3, 4, and 7)