5+ years of experience
Concerned about your lack of experience? Learn More...
Employment Type:
Full time
Job Category:
Software Development
See more jobs for students and recent grads who studied:
Compliance Officer - Monitoring & Surveillance - Atlanta, GA
Suntrust Banks, Inc. | Atlanta, Georgia
Tell Us More About Your Job Preferences
By telling us what you think of this job, we can help find jobs that match your interests. If you want to see more jobs like this, click on the smiley face. Or if this job isn't what you are looking for, click the frowny face. Learn More...

Follow This Company

Job Description

Compliance Officer - Monitoring & Surveillance - Atlanta, GA-W442016


The Capital Markets Surveillance Specialist is responsible for performing important surveillance and monitoring functions to support SunTrust's Corporate & Investment Banking Compliance program. The Surveillance Specialist conducts trade and communication surveillance to monitor business activities to ensure compliance with SunTrust policies and regulatory obligations; conducts the investigation and documentation of exceptions; and escalates issues towards resolution and remediation. Primarily accountable for performing trade surveillance of broker-dealer and swap dealer regulatory obligations, electronic communications surveillance of business and functional personnel to identify issues of potential regulatory concern; Volcker rule monitoring to confirm trading activities comply with the Volcker Rule (e.g., market making, risk mitigating hedging, riskless principal, etc.); quality control monitoring across other Corporate & Investment Banking activities; collaboration 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 years of experience in Compliance Monitoring, Surveillance, Testing, Audit, or Operational Risk within the financial services industry, or equivalent. 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.

Job:Other Professional
Primary Location: GA-Atlanta Area
Work Locations: Atlanta Financial Center

3333 Peachtree Road

Atlanta 30326


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.

To review the EEO Poster, copy and paste the following link into your brower: http://www1.eeoc.gov/employers/upload/eeoc_self_print_poster.pdf http://www.dol.gov/ofccp/regs/compliance/posters/pdf/OFCCP_EEO_Supplement_Final_JRF_QA_508c.pdf

About Suntrust Banks, Inc.

SunTrust Banks, Inc. (SunTrust) primarily operates as a financial services holding company. Through its principal banking subsidiary, SunTrust Bank (the Bank), the Company provides deposit, credit, and trust and investment services. Through its subsidiaries, SunTrust also provides mortgage banking, credit-related insurance, asset management, securities brokerage and capital market services. The Company operates in five business segments: Retail, Commercial, Corporate and Investment Banking (CIB), Wealth and Investment Management, and Mortgage. The Bank operates primarily in Florida, Georgia, Maryland, North Carolina, South Carolina, Tennessee, Virginia and the District of Columbia. SunTrust provides clients with a selection of technology based banking channels, including the Internet, automated teller machines (ATMs), personal computers and around-the-clock telebanking. In May 2008, SunTrust completed the acquisition of GB&T Bancshares, Inc.

This company profile was created by AfterCollege and is about Suntrust Banks, Inc.. This page is not endorsed by or affiliated with Suntrust Banks, Inc.. For questions regarding company profiles, please email: care@aftercollege.com.