VP - Buy Side Surveillance Officer

  • Negotiable
  • Stamford, CT, USA
  • Permanent, Full time
  • Michael Page International - US
  • 25 Sep 16

My client a Financial Services Firm based in Stamford are looking for a VP - Buy Side Surveillance Officer to join the team on a permanent basis.

The organization are headquartered in Stamford and are a well known Asset Manager. They AUM they control are in the Billions of dollars and they offer fantastic growth opportunities.


The successful VP - Buy Side Surveillance Officer will be responsible for:

The role of the VP - Surveillance Officer will be the oversight and monitoring of the compliance program for the primary research affiliate within the company. This candidate will be responsible for the overall compliance program for in-house research group including but not limited to:

  • Main point of contact for compliance related items for Canvas Manager and Analysts;
  • Oversee and manage staff of a minimum of one conducting the following:
    • Conduct on-boarding due diligence of new consultants to the group and annual re-reviews;
    • Chaperone consultant calls for Research Analysts;
    • Conduct surveillance over Analyst interactions with discretionary investment professionals;
    • Designate call assignments to other compliance professionals, when appropriate/necessary;
    • Notate chaperoned calls in compliance management system, keep track of experts who have yet to be chaperoned or require mandatory chaperone;
    • Reader for Canvas employee e-communications, including daily notes summary, weekly recaps, and reports to the front office;
    • Oversee and facilitate quarterly invoicing and payment with finance.
  • Conduct Material Non-Public Information training for Canvas Analysts; and
  • Brainstorm and implement ideas for enhancing compliance oversight improvement and more efficient processes;
  • Conduct diligence review and provide recommendations on potential providers to Canvas;
  • Responsible for awareness of on-going potential privacy law issues on federal and state level;


The successful candidate will have:

  • College degree from top tier university.
  • Experience of both Trade Surveillance and Due Diligence
  • 3 plus years of experience in a legal or compliance role at a top tier firm, preferably on the Buy Side
  • Project management or team leadership experience is a plus
  • Strong verbal and written communication skills.
  • Minimum 3.2 GPA

Job Offer

Base Salary + Fantastic Bonus Potential + Benefits fully covered for individual and spouses