Team Lead Compliance

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Skills you'll use

What you'll do

• The role involves working on electronic communications surveillance and investigations across global markets within compliance systems for the NA and EMEA regions
• Surveillance & Investigations
• Lead and oversee end-to-end surveillance reviews of electronic communications, including Bloomberg chats, emails, instant messages, text messages, and social media platforms.
• Monitor and review social media activity (posts, likes, private messages), ensuring no confidential or proprietary information is disclosed; approve social media profiles in line with policy.
• Proactively identify, investigate, and escalate indicators of market abuse, insider trading, misconduct, or regulatory breaches.
• Ensure investigations are conducted in accordance with internal policies, regulatory requirements, and evidentiary standards, including proper documentation and record retention.
• Regulatory Compliance & Risk Oversight
• Stay current with regulatory developments, enforcement actions, and industry best practices to continuously enhance surveillance programs.
• Ensure surveillance frameworks align with global regulatory requirements (e.g., FINRA, SEC, FCA, and other regional regulators).
• Maintain high standards of documentation, audit trails, and case management to support regulatory inspections and internal audits.

Who can apply

• Master’s/bachelor’s degree in finance, Accounting, Business Management, or a related field
• Strong knowledge of global regulatory frameworks (FINRA, SEC, FCA, etc.)
• Solid understanding of financial services industry (asset/wealth management, investment banking, broker-dealers, private equity)
• Knowledge of financial instruments (equities, fixed income, derivatives, structured products)
• Strong investigative, analytical, and decision-making skills
• Excellent written and verbal communication skills
• Proficiency in Microsoft Office tools (Excel, PowerPoint, etc.)

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