Markets Compliance Officer - Surveillance

Reviewing and analyzing surveillance alerts and/or reports relating to firm, employee and client trading activity. Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately.

Gathering and analyzing trade data to assist in the Firm’s response to inquiries received from governmental and exchange regulatory bodies. Additionally, supporting the compliance group in evaluating surveillance results for potential problems, communicating surveillance findings to management in a clear and concise manner as well as interacting with legal and other compliance personnel.

Responding to inquiries or requests from internal partners (e.g. Compliance Assurance, Internal Audit, Legal).

Assisting with the design and implementation of new surveillances as well as the refinement of existing ones. Interacting with IT on the specific design and testing of new surveillances.

Has the ability to operate with a limited level of direct supervision.

Can exercise independence of judgement and autonomy.

Acts as SME to senior stakeholders and /or other team members.

Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof

Knowledge of Compliance laws, rules, regulations, risks and typologies

Proficiency in both Polish and English

Must be a self-starter, flexible, innovative and adaptive

Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization

Strong project management and organizational skills and capability to handle multiple projects at one time

Proficient in MS Office applications (Excel, Word, PowerPoint)

Some knowledge in area of focus