• Responsible for leading a team of four analysts, ensuring analysts are well trained, conducting thorough surveillance trade reviews, and documenting and escalating findings according to firm and regulatory policy.• Perform quality assurance for analyst surveillance trade reviews and escalations• Ensure senior management is informed with regards to the overall day to day performance of the team as well as potential issues.• Provide documentation and surveillance responses for firm and regulatory inquiries and audits.• Assist with surveillance enhancements and work on strategic surveillance projects• Liaise with senior management, information technology, and other compliance stakeholders in the review and testing of surveillance platform enhancements• Review and update surveillance key operating documents

• Conduct surveillance of trading activities utilizing in house and 3rd party platforms to detect inappropriate, abusive, or manipulative trading behaviors to ensure compliance with appropriate rules, regulations, and firm policies• Document trading review research results and escalate violations or suspicious behavior according to firm and regulatory policy• Assist in gathering responses for regulatory exams and inquiries• Review/analyze issues within the surveillance platform and provide solutions and testing for fixes, and system enhancements• Create and edit desktop procedures for surveillance scenarios

• Monitor trading activity to ensure adherence to company policy and regulations, communicate with senior management and trading desks regarding any potential issues, and document all findings• Perform daily review of electronic correspondence to ensure compliance with all firm and regulatory policies• Provide real-time support to sales and trading around regulatory/internal policy questions• Monitor the monthly Volcker metric packs to ensure that any issues are documented, and resolved• Review and provide approval for business and personal account trading• Create and edit the firms written supervisory procedures

• Train, supervise, and evaluate a team of six trading assistants• Ensure that all escalated items were prioritized and resolved quickly• Develop and implement reports and processes to increase operational efficiency and streamline processes• Create and maintain procedure documentation for all regularly performed tasks

• Perform daily controls to ensure trades fed correctly from front office to back office systems• Identify, investigate, and resolve trading discrepancies affecting Risk and P&L• Assist IT department by participating in system testing and providing useful feedback to improve firm infrastructure• Established strong working relationships with the trading desk, back office, PnL and IT teams

• Interact with clients via inbound calls, responding to requests for information and assistance with their brokerage accounts on account features, balances, transaction and distribution information• Engage in insightful conversations with clients regarding equity markets, fixed income markets, international markets, and economic conditions• Lead customers to an understanding of the options or solutions that were applicable to their situation, demonstrating how features and benefits matched their needs