Trade Surveillance Manager (Broker-Dealer & Swap Dealer)
Capital(1 month ago)
About this role
The Trade Surveillance Manager will lead and enhance the firm’s surveillance program across institutional Broker-Dealer and Swap Dealer businesses. This role is responsible for overseeing day-to-day surveillance operations, maintaining controls around monitoring trading activity, and ensuring compliance with SEC, FINRA, CFTC, and NFA requirements. The position partners with Compliance, Legal, Technology, and Risk teams and supports regulatory and audit engagements.
Required Skills
- Trade Surveillance
- Market Conduct
- Surveillance Platforms
- Regulatory Compliance
- Alert Review
- Data Reconciliation
- Scenario Testing
- Team Leadership
- Documentation
- Analytical Skills
Qualifications
- Bachelor's Degree
- Advanced Degree
- FINRA Series 7
- FINRA Series 24
- NFA Swap Dealer Proficiency
About Capital
capitalonecareers.comYou’re tenacious and driven, so the last place you want to work is some boring bank. Same. Learn about careers at Capital One and view jobs here.
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