Compliance, Market Surveillance Compliance, Vice President, Salt Lake City

Global Compliance

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

• Identify potential insider trading, information barrier, and market manipulation scenarios through investigations and analysis of trading alerts
• Research market-moving events and create market color, conduct an analysis of the trading in the context of this market color, develop and support a recommendation
• Investigate potential trading issues flagged by the business units, such as the Global Markets & Banking and Asset and Wealth Management segments
• Liaise with strategy groups, Engineering, and Technology in the development, review, and testing of new/existing automated surveillance models and output
• Coordinate with the Anti-Money Laundering Group globally on trading-related investigations and potential escalations which may result in the filing of Suspicious Activity Reports (SAR)
• Pursue ad-hoc projects related to trading around market-moving news events such as drug trials, merger & acquisition announcements, offerings, corporate accounting scandals, etc.
• Participate and potentially lead working groups that focus on enhancing controls/quality of the trade surveillance program

• Bachelor's Degree
• 3-5 years' experience/working knowledge of many different product types e.g. fixed-income securities, equity options, and other derivatives such as CDSs and CFDs
• Advanced MS Excel and PowerPoint skills (Pivot tables, VLookup, experience with large data sets, proficient in data manipulation and presentation)

• Proficiency with Bloomberg, Reuters and other market data tools and aptitude for research
• Interest in capital markets, current events, and financial news
• Ability to identify and draft a narrative explaining trading strategies
• Strong communication skills, comfort developing a recommendation and supporting it by presenting and explaining analysis
• Team player with great attitude and work ethic; experience managing workflows or teams
• Ability to multi-task on several different assignments/projects
• Interest in working on a global team dealing with global businesses
• FINRA SIE and/or Series 7/63 preferred