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Global Markets Surveillance – Vice President

  • Location

    London

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £80,000 - £100,000

  • Consultant:

    Mike Suliks

  • Email:

    msuliks@merje.com

  • Job ref:

    MS/14657

  • Published:

    13 days ago

The Client:

One of the world's largest bank and asset servicing company is looking for a Global Markets Surveillance – Vice President with a focus on their Capital Markets business.

Responsibilities:

The role will be based in the firm’s London office and will have a direct reporting to the EMEA Surveillance SME while being responsible for:

  • Performing daily monitoring and investigation of trade surveillance alerts
  • Promptly escalating and communicating as appropriate, alerts that require supervisor and/or compliance review
  • Maintaining and monitoring a database of remedial actions/recommendations arising from trade surveillance
  • Co-ordinating with on-site developers and business analysts to implement any code additions/changes
  • Assisting in the development of a surveillance operating model by providing recommendations for escalations and workflow on an alerts basis
  • Packaging and presenting management information for periodic review by the Surveillance Governance Committee
  • Analysing and reporting on trends seen in the daily process to senior supervisors
  • Actively participating in investigations into incidents arising as required
  • Assisting compliance with regulatory, internal or client requests

 

Qualifications

  • Strong experience in a compliance trade surveillance role/front office trading role/front office supervisor role
  • Experience in both trade and communications surveillance
  • Knowledge of at least two of the following, Equities, Fixed Income, Derivatives and/or FX
  • Familiarity with global regulation and industry best practices aimed at mitigating market manipulation and employee misconduct