Overview
A leading global alternative investment firm is seeking a Senior Surveillance Associate to join its Surveillance team in Stamford, CT.
The Surveillance team sets the industry standard for intelligence driven surveillance by proactively identifying, monitoring, and assessing various sources of compliance risk using proprietary tools and specialized tradecraft. It supports senior management by providing strategic assessments, actionable recommendations, and real-time escalations. Members of the Surveillance team conduct integrated trade and communication surveillance and collaborate to turn information into intelligence for internal customers. The team also monitors employee activity for evidence of violations of applicable federal securities laws, internal compliance policies and procedures, and relevant rules and regulations enforced by the SEC, FINRA, and other organizations.
Key Responsibilities
- Conduct routine trade surveillance and investigations;
- Conduct routine communication surveillance for potential violations of relevant securities laws, rules, regulations, and Firm policies, and escalate suspicious or non-compliant events;
- Craft intelligence questions, and appropriately scope research to produce sophisticated and well-written analysis that provides insight and risk analysis, not simply information;
- Use tools and methodologies such as structured analytic techniques to improve analysis, check Assumptions, and identify signposts or indicators of change;
- Serve as a subject matter expert in your assigned coverage and stay abreast of relevant regulations, industry best practices, and internal policies;
- Leverage resources, technology, and information to minimize risk and protect the Firm.
- Brief Firm CCO and CSO on key findings from analytic assessments;
- Work with managers to respond to information requests from financial regulators and other external parties;
- Collaborate on ad hoc taskings from members of the senior management team;
Skills, Knowledge & Experience
The firm hires candidates with a wide range of academic and professional backgrounds; many have prior experience working in the US Intelligence Community, but some come from the private sector or join soon after completing graduate or professional school. You to be excited and willing to put in the effort required to quickly learn about the industry. Specifically, you will need:
- A bachelor’s degree, master’s degree preferred, with five or more years of prior professional experience working as an intelligence analyst, investigator, or in a closely related role;
- Strong analytical and problem-solving skills, and excellent attention to detail;
- Proven effectiveness in written and verbal communication;
- The ability to exercise sound judgement and observe the highest degree of confidentiality and discretion when handling highly sensitive information;
- The ability to adapt to changing priorities to meet business needs.
Person Specification
To succeed as a member of the Surveillance Team, you must prioritize the firm’s values:
- Integrity: demonstrate the highest standards of ethics and integrity. The work is truthful, direct, and unbiased. Protect sensitive and confidential information and exercise discretion in all aspects of work.
- Teamwork: collaborate and support each other to accomplish goals. The firm will push each other to be better because it is only as strong as the weakest member.
- Respect: build a respectful team culture centered on open communication, sharing, listening, and recognition of team members at all levels.
- Innovation and Excellence: don’t settle, and don’t believe in “good enough”.
- Courage: are not afraid to fail. Engage in difficult and high stakes work in an environment with a high degree of uncertainty.
- Curiosity: always ask “why”? Don’t accept the first answer or the easy answer; the goal is to understand. Go beyond reporting to put information into context and to provide actionable insights and analysis.
Additional Information & Benefits
The firm invests in its people, their careers, their health, and their well-being;
- Fully-paid health care benefits
- Generous parental and family leave policies
- Mental and physical wellness programs
- Volunteer opportunities
- Non-profit matching gift program
- Support for employee-led affinity groups representing women, minorities and the LGBT+ community
- Tuition assistance
- A 401(k) savings program with an employer match and more
