Surveillance Manager

Summary

Join Crypto.com's Local Programs and Regulatory Compliance team and ensure compliance with local laws and regulations. Develop and review surveillance tools, create policies and procedures, and leverage technology for compliance efforts. Oversee record-keeping, support risk assessments, and collaborate with various teams. Engage in firmwide and industry-wide compliance issues, interacting with senior professionals and regulators. This role requires 3-5 years of experience in financial services, Series 7 certification, and strong interpersonal and communication skills. Crypto.com offers competitive salaries, attractive leave entitlements, flexible work arrangements, and a crypto.com visa card.

Requirements

• Minimum 3-5 years at a Financial Service firm, or regulator
• Series 7 required
• Ability to multi-task in a highly demanding environment with the ability reprioritize and shift assignments as necessary
• Strong interpersonal skills
• Openness to different approaches and viewpoints
• Foster collegial and partnership-focused relationships across departments and skillsets, particularly with technology and legal professionals
• Excellent verbal, writing and presentation skills and can interact with stakeholders at all levels within the organization and with regulators
• Ability to relay complex technical concepts to non-technical audience
• Strong attention to detail
• Possess high ethical standards, respect for confidentiality and privacy

Responsibilities

• Develop and review surveillance tools and reports and conduct analysis of trading and related market activity and scale the program
• Create policies and procedures and workflow tools to enhance the Firm’s surveillance and control efforts trading
• Leverage vendor and internal technologies and automation to review electronic communications
• In compliance with FINRA and SEC requirements, oversee the firms’ surveillance record keeping requirements
• Support risk assessments and regular testing to access the effectiveness of the firm’s policies and associated controls
• Collaborate across the legal, compliance and other corporate functions to assist in the development and rollout of leading compliance related technologies, controls, and processes
• Engage in a variety of firmwide compliance issues and interact with Senior Legal and Compliance professionals and regulators
• Engage in industry wide issues and assist in developing firm responses to new rules, trade flows and other initiatives

Preferred Qualifications

Series 24, 57

Benefits

• Competitive salary
• Attractive annual leave entitlement including: birthday, work anniversary
• Aspire career alternatives through us. Our internal mobility program can offer employees a diverse scope
• Work Perks: crypto.com visa card provided upon joining
• Flexi-work hour and hybrid or remote set-up