Job Description

Compliance Officer-Trade Surveillance
Job Number: 20-02147
 
Help drive change! Eclaro is looking for a Compliance Officer- Trade Surveillance for our client in New York, NY

Eclaro’s client is a leading global bank stimulating change and innovation in the industry by offering top-notch financial products and services for a wide-range of clients worldwide. If you’re up to the challenge, then take a chance at this rewarding opportunity!
 
Position Overview:
  • The Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and promoting, in partnership with the business, a culture of Compliance. Given the increasing regulatory scrutiny and the need to implement a robust and globally consistent control framework, an effective Global Surveillance program is a key component to the Department's success.
  • The Compliance, Surveillance Division is currently looking for a contractor to assist with an Electronic Communications Next Generation project that is focused on Market Conduct risks utilizing Machine Learning/NLP techniques. The contractor will need to review electronic communications and identify potential market abuse and other risk types to assist with NLP model training.
 
Responsibilities:
  • Assist with reviewing and tagging a certain amount of electronic communications, as part of a global project to assist with NLP model training that is focused on market abuse detection
  • Work in a Global program supporting the local, Communications Surveillance lead and engage with other key stakeholders around the globe, including project managers, technology and other contributors working on the project
  • Assist in reviewing and updating policies and procedures relating to the project
  • Continuously monitor process, technology stability and escalate issues and risks accordingly
  • Regular and effective interaction with all key stakeholders working on the project
 
Qualifications:
  • University degree, preferably in Finance, Business, Accounting or Economics
 
Required Experience:
  • 5-10+ years of experience within a Markets business (e.g., FX, Rates, Fixed income)
 
Preferred Experience:
  • Sales and trading and/or operational background within the Global Investment Banking industry
 
Required Skills:
  • An understanding of market abuse behaviors and the different types of trading scenarios
  • Strong written and verbal communication skills, with the ability to clearly articulate challenges with technology and other project stakeholders (e.g., project management, technology, business line compliance and surveillance staff)
  • Understanding of, and interest in, securities and banking laws, financial markets/ regulatory environment
  • Excellent oral and written communication skills, strong attention to detail, problem solving skills
  • Ability to document results and recommend improvements to compliance processes and operational procedures for reviewing surveillance alerts
  • Ability to effectively work with a variety of stakeholders from different backgrounds and across different jurisdictions
 
If hired, you will enjoy the following Eclaro Benefits:
  • 401k Retirement Savings Plan administered by Merrill Lynch
  • Commuter Check Pretax Commuter Benefits
  • Eligibility to purchase Medical, Dental & Vision Insurance through Eclaro
 
If interested, you may contact:
Elland Bondoc
elland.bondoc@eclaro.com
2012839624
Elland Bondoc | LinkedIn
 
Equal Opportunity Employer:
Eclaro values diversity and does not discriminate based on Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.
 

Application Instructions

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