Trade Surveillance Compliance Officer Role

Join Edward Jones as a Compliance Officer specializing in Trade Surveillance, focusing on regulatory and financial risk mitigation in trading. This position involves monitoring equity and fixed income trades while ensuring robust program adherence.

As the Compliance Officer, you will be critical in ensuring compliance with UMIR regulations while engaging with CIRO during audits. Your tasks will include delivering essential training to traders and supporting internal teams to enhance compliance frameworks and monitoring practices.

Key Responsibilities:

• Monitor trade activities and detect infractions
• Manage CIRO required trade reporting and regulatory requests
• Work with US trading desk for effective supervision
• Collaborate with departments for issue resolution
• Develop reports summarizing surveillance activities and trends

Requirements

• CSC and CPH certifications required
• Prior trading surveillance experience is essential
• Proven background in regulatory compliance roles
• Expertise in Tier 2 supervision and risk assessments
• Strong understanding of capital markets and compliance standards

Embrace your expertise in regulatory oversight and enhance trade surveillance at Edward Jones. #J-18808-Ljbffr