Surveillance Risk & Trends Manager

Essential Duties and Responsibilities

• Apply a risk-based surveillance framework to evaluate potential compliance and conduct risks, assess business activities, and recommend appropriate escalation and resolution strategies.

• Utilize advanced analytics, surveillance platforms, and data-driven methodologies to identify trends, anomalies, emerging risks, and potential areas of regulatory concern.

• Conduct comprehensive surveillance reviews and investigations related to broker-dealer and investment adviser activities to detect potential violations of firm policies, industry standards, and regulatory requirements.

• Perform thematic risk analyses to identify underlying risk drivers, control gaps, and emerging areas of concern across the organization.

• Develop and deliver executive-level dashboards, reports, and presentations utilizing Microsoft Excel and PowerPoint to effectively communicate surveillance outcomes, risk trends, and actionable insights.

• Support the reporting and ongoing evaluation of surveillance program effectiveness, including key activities, findings, and outcomes for Compliance Management.

• Provide strategic, risk-based recommendations to senior leadership by leveraging regulatory expertise, industry knowledge, and analytical findings.

• Research and interpret complex regulatory developments, compliance issues, and industry trends to inform surveillance activities and risk assessments.

• Collaborate and engage regularly with Vice Presidents, Senior Vice Presidents, Chief Compliance Officers, and Supervision Management to discuss investigation results, emerging risks, and mitigation strategies.

• Present investigative findings, thematic observations, and recommended corrective actions through clear, concise, and impactful written and verbal communications.

• Perform other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced Knowledge of:

• Concepts, practices, and procedures of securities industry and/or banking compliance risk management and/or surveillance.

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.

• Fundamental investment concepts, practices and procedures used in the securities industry.

• Principles of banking and finance and securities industry operations.

• Financial markets and securities, investment products, insurance, annuities, and advisory programs.

Skill in:

• Conducting risk-based surveillance reviews across broker-dealer and investment adviser activities.

• Leveraging surveillance platforms, analytical tools, and data-driven methodologies to identify trends, patterns, anomalies, and emerging risks.

• Documenting review rationale, conclusions, escalations, and outcomes in approved systems to support governance, audit, and regulatory defensibility

• Assessing regulatory, compliance, conduct, and reputational risks and recommending appropriate escalation or mitigation strategies.

• Investigating surveillance alerts, exceptions, and other identified irregularities to determine potential violations of firm policy or regulatory requirements.

• Performing thematic analyses to identify risk trends, root causes, and control weaknesses.

• Interpreting and applying SEC, FINRA, and investment adviser regulatory requirements to surveillance activities and risk assessments.

• Researching complex compliance issues, regulatory developments, and industry trends.

• Developing and enhancing surveillance reviews, monitoring processes, and risk identification methodologies.

• Gathering, analyzing, and synthesizing information from multiple data sources to support risk assessments and investigations.

• Preparing executive-level reports, dashboards, and presentations using Microsoft Word, PowerPoint, and Excel.

• Summarizing complex findings into clear risk themes, conclusions, and actionable recommendations for management.

• Communicating effectively through written reports, presentations, and discussions with senior management and stakeholders.

• Making sound risk-based decisions through the application of analytical techniques, regulatory knowledge, and professional judgment.

• Compiling information and preparing oral and written reports leveraging Microsoft Word, PowerPoint and Excel.

Ability to:

• Interpret and apply securities and/or banking regulations and identify and recommend compliance changes as appropriate.

• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Use appropriate interpersonal styles and communicate effectively with all organizational levels.

• Work independently as well as collaboratively within a team environment.

• Establish and maintain effective working relationships at all levels of the organization.

• Attend to detail while maintaining a big picture orientation.

• Maintain confidentiality.

• Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.

Educational/Previous Experience Requirements

• Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of six (6) years of experience in the financial services industry, compliance, or risk management.

or

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• SIE required provided that an exemption or grandfathering cannot be applied

• Series 7 required or the ability to obtain within 90 days.