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Financial Surveillance Specialist
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- We are seeking a talented individual to join our team as a Financial Surveillance Specialist. As a member of our Securities Division Compliance team, you will play a critical role in managing compliance and regulatory risk across our Equities and FICC businesses.
- Your primary responsibilities will include reviewing and overseeing controls, identifying enhancements to existing controls, testing the integrity of system controls, and participating in periodic risk assessments.
- You will work closely with business personnel, compliance officers, and technology teams to develop and enhance system controls, surveillances, and associated procedures and training.
