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Bank Of America Surveillance Specialist United States, North Carolina, Charlotte 968911445
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Daily responsibilities of the Compliance Surveillance Specialist include execution of trade-surveillance alerts, identifying and escalating potential insider trading and trading activity that violates the firm’s policies related to GWIM, Title VII of Dodd Frank (i.e. Swap Dealer policies), the Volcker Rule, and Reg W, and providing daily updates to surveillance leads and managers as needed. This role works closely with Risk, LOB Compliance, and SMEs to conduct surveillance. The role will be aligned almost exclusively to GWIM insider-trading surveillance in the short term, but there will be opportunities for cross-training in other coverage areas in the medium and long term.
• Efficient and accurate execution of daily GWIM insider-trading alerts.
• Extensive interaction with internal or external contacts to identify, research, analyze and resolve complex problems.
• Working closely with Risk, Compliance, and SMEs to conduct surveillances.
• Intermediate knowledge of insider trading surveillance. This role may contribute and/or participate in multiple special projects.
• Daily interaction with senior Compliance members.
• Minimum of 2 + years’ work experience.
• Bachelor’s Degree or equivalent experience.
• Ability to analyze trading activity and market events.
• Include systems knowledge, certifications, etc.
• Ability to execute surveillances across multiple lines of business.
• Extensive functional or professional knowledge.
• Microsoft Suite of products.
Skills and competencies:
• Proven markets knowledge and experience.
• Bachelor’s Degree or equivalent
• Knowledge of trading business, markets, and products, such as equities, options, swaps, and other OTC financial derivatives.
• Ability to handle multiple projects in a dynamic environment.
• Experience in using surveillance tools, such as Actimize.
• Excellent interpersonal, written and communication skills.
• Intellectual curiosity and ability to anticipate risk.
• Detail-oriented.
• Strong time-management skills.
• Ability to meet deadlines.
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