Join a dynamic team dedicated to innovation and excellence in risk management. As a Surveillance Associate, you'll play a pivotal role in identifying and mitigating market misconduct risks, collaborating with global and regional teams, and contributing to our commitment to Diversity, Equity, and Inclusion.

As a Compliance, Conduct and Operational Risk (CCOR) - Surveillance Associate in Asset Management Trade Surveillance, you will be instrumental in conducting reviews of trade surveillance alerts related to market manipulation and misconduct. You will collaborate with Line of Business Compliance, Management, and global/regional Surveillance teams to promote and enhance our global program. This role demands strong attention to detail, analytical skills, and the ability to manage multiple tasks in a fast-paced environment.

Job Responsibilities:

Review trade surveillance alerts and analyze trading and market activity to detect and deter potential market misconduct and other manipulative behaviors.Escalate possible violations of rules, regulations, and procedures to management.Assist in the design, testing, and implementation of new alerts and enhancements.Conduct ad hoc and non-alert-based reviews for potential violations of policies, laws, rules, and regulations.Manage multiple projects in a fast-paced environment.Interface with compliance officers, legal, and other stakeholders to review and resolve potential compliance issues.Assist in establishing internal control processes and developing/updating procedures.Perform general administration, reporting, and process document maintenance.Engage with regional LOB/Core Functional Compliance Teams, various country compliance  in US and EMEA Surveillance Teams, senior business management, technology, and operations.Contribute to the firm’s culture and Diversity, Equity, and Inclusion program.

Required Qualifications, Capabilities, and Skills:

Bachelor's degree required.5+ years of experience in a Control/Compliance roleFamiliarity with Asset and Wealth Management investment strategies and products, including mutual funds, structured products, stocks, fixed income, and derivatives.Teamwork skills; flexibility in work style and ability to collaborate with stakeholders and colleagues at all levels.Strong PC skills, including Microsoft Excel, SharePoint, Word, PowerPoint, and other reporting tools.Proven ability to communicate effectively in English at all levels, both orally and in writing.Qualified as a securities investment analyst in accordance with the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting EnterprisesPassed an examination for associated persons of securities investment trust and consulting enterprises held by an institution engaged by the SITCA Passed a senior securities specialist examination held by an institution engaged by a securities dealers association or has obtained certification of passage of such an examination issued by the former competent authority for securities

Preferred qualifications, capabilities, and skills

Experience in  in Wealth Management or Asset Management.Knowledge of trade and communications surveillance processes and systems such as SHARP / Reliance / Connected Archive is advantageous.