VP, Trading Compliance Officer
Canaccord Genuity Wealth Management UK
Overview
We are seeking a Vice President to join our Trading and Surveillance team within the Compliance Department. The successful candidate will be an integral member of the surveillance team, reviewing surveillance reports, investigating possible instances of rule or law violations, and providing compliance support for the trading businesses. This position requires strong analytical and communication skills and the desire to take initiative and assume responsibility.
This position reports to the Head of Surveillance and Trading Compliance, based in Manhattan, and works on a hybrid schedule (WFH Mondays & Fridays).
Essential Job Functions
- Perform reviews of trading reports to ensure compliance with all relevant laws, rules and regulations associated with equities markets.
- Work independently to monitor trading behavior to identify potentially inappropriate or fraudulent activity in support of the firm’s anti-money laundering responsibilities.
- Conduct in-depth analysis and research of potential issues to determine whether trading activities were conducted appropriately.
- Refer findings to senior management or colleagues for potential regulatory filings.
- Provide compliance advisory support to the trading businesses on key regulatory topics, including Consolidated Audit Trail, SEC Market Access Rule, and Regulation SHO.
- Clearly and concisely communicate with staff at all levels of the organization to evaluate potential issues.
- Partner with IT and other business units to identify opportunities to enhance surveillance reports.
- Support management in addressing action plans which enhance regulatory controls.
- Stay current on evolving industry standards, regulatory requirements, and trends to proactively contribute to the enhancement of surveillance program and compliance controls.
- Present Compliance topics at regular meetings with Trading Staff.
- Mentor and train junior staff on industry knowledge and best practices.
Required Qualifications
- Bachelor’s Degree
- Seven years of experience in a regulatory or compliance setting
- At least 5 years of experience focused on trade surveillance
- Comprehensive knowledge of equities trading, surveillance procedures and associated rules and regulations
- Expertise within the U.S. equities markets and proficiency with surveillance systems
Preferred Qualifications (Not required)
- Legal training and/or direct regulatory experience
- Experience in option markets
- Experience with anti-money laundering programs
- Experience mentoring and training junior staff
Knowledge, Skills and Abilities
- Superior oral and written communication skills
- Presentation skills
- Excellent attention to detail and time management
- High degree of ownership and accountability with ability to prioritize under tight deadlines
- Advanced analytical and investigative capabilities
- Curiosity and a desire to excel
- Ability to provide mentorship and training to junior staff
Driven by your success
A career at Canaccord Genuity means working for a client-centric organization with a global reach across 10 countries. We are driven to achieve for our clients, our shareholders and each other in a highly ethical manner – our people and culture are at the heart of our success. No matter what your role, you have the opportunity to make a positive difference through your ideas and hard-work and be rewarded for your performance.
Driven by diversity and inclusivity
Canaccord Genuity is committed to encouraging a diverse workforce and to promoting a respectful and inclusive culture in which everyone has the opportunity to thrive and realize their potential. We recognize that diversity across our business strengthens relationships, enables more innovative solutions for our clients, as well as creating a more stimulating place to work.
Building and developing a truly varied team of talented people from all walks of life is essential for tackling new global challenges, adapting to changing markets and appealing to an increasingly diverse client base.