SunTrust Banks Compliance Surveillance & Monitoring Associate CIB in Atlanta, Georgia
Req ID: W451958
Job Description Responsibilities. The Capital Markets Surveillance Officer is responsible for performing important surveillance and monitoring functions to support SunTrust’s Corporate & Investment Banking Compliance program. The Surveillance Officer 1) conducts trade and communication surveillance and periodic monitoring routines to monitor business activities to ensure compliance with SunTrust policies and regulatory obligations; 2) investigates and documents exceptions; and 3) escalates issues towards resolution and remediation. Primarily accountable for: · Performing trade surveillance of broker-dealer and swap dealer regulatory obligations; · Performing electronic communications surveillance of business and functional personnel to identify issues of potential regulatory concern; · Conducting Volcker rule and other monitoring to confirm business activities comply with regulatory obligations; · Collaborating with Technology and front office personnel on the development and implementation of surveillance and monitoring solutions; · Helping to calibrate thresholds and policies; and
· Assisting on regulatory examinations and audits.
Minimum Requirements. College degree. Minimum 4-5 years’ of experience in Compliance Monitoring, Surveillance, Testing, Audit, or Operational Risk within the financial services industry. Understanding of SEC and FINRA regulations, particularly in an institutional context. Ability to use surveillance platforms such as NICE Actimize and develop and work within Excel spreadsheets. Strong analytical, problem solving and organization skills. Strong communication skills, both verbally and written. Ability to perform multiple tasks in a fluid environment, and to work both independently and as a team member.
Preferred Requirements. MBA or other advanced degree. Experience with trade surveillance and communications monitoring of trading at a financial services firm, covering equity, fixed income and derivatives products. Understanding of CFTC Swaps rules and the Volcker Rule are a plus. Ability to develop and maintain automated exception based surveillance reports. Series 7 preferred. Proficiency in Excel preferred.
Equal Opportunity Employer: SunTrust supports a diverse workforce and is a Drug Testing and Equal Opportunity Employer. SunTrust does not discriminate against individuals on the basis of race, creed, color, gender, religion, national origin, age, disability, veteran status, pregnancy, marital status, citizenship status, sexual orientation, gender identity, genetic information, or any other classification protected by applicable laws.
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