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,…