Vice President, Business Unit Compliance (Fintech)

TL;DR

Vice President, Business Unit Compliance (Fintech): Leading a regional execution team of investigators focused on insider trading, information barriers, and market manipulation with an accent on surveillance system controls and regulatory risk. Focus on developing automated surveillance models, analyzing trading activity, and coordinating global financial crime investigations.

Location: Onsite in Salt Lake City, UT, United States

Company

hirify.global is a leading global investment banking, securities, and investment management firm.

What you will do

• Lead a regional execution team of investigators analyzing insider trading, information barriers, and market manipulation scenarios.
• Partner with Business Personnel and Technology to develop and enhance system controls, surveillances, and associated procedures.
• Liaise with strategy groups and Engineering to review and test new or existing automated surveillance models.
• Research market-moving events and analyze trading activity to support investment recommendations.
• Coordinate with the global Financial Crime Compliance group on trading-related investigations and potential SAR filings.
• Monitor the qualitative and timely performance of surveillance reviews and identify control enhancements.

Requirements

• Bachelor’s degree in Business Administration, Finance, Legal Studies, Human Resources, Management or a related discipline.
• 5+ years of experience in compliance, surveillance, or internal audit within the financial services industry.
• 3+ years of expertise in securities markets and products including equities, derivatives, fixed income, commodities, and currencies.
• 2+ years of experience with capital markets regulations as they apply to market manipulation.
• Proven ability to communicate compliance recommendations to management and stakeholders to reach consensus-driven solutions.

Culture & Benefits

• Equal opportunity employer committed to diversity and inclusion.
• Professional environment within a globally recognized financial institution.