Trade Surveillance Vice President

My client is a leading financial services firm with an office in central London.

Job Summary:

As a Trade Surveillance VP at you will play a critical role in ensuring the integrity and compliance of trading activities across multiple desks, including Credit and Rates, Foreign Exchange & Treasury, Debt Capital Markets, Securitisation, and Global Investment Banking. This role involves the monitoring, analysis, and reporting of trading activities to identify potential market abuse, manipulation, and regulatory violations.

Key Responsibilities:

1. Trade Surveillance: Conduct real-time and post-trade surveillance of trading activities across the designated desks to detect unusual or suspicious transactions and patterns.
2. Monitoring: Assist, develop and help implement new monitoring controls.
3. Alert Generation: Utilize surveillance tools and systems to generate alerts on potential market misconduct and regulatory breaches, investigating and escalating as necessary.
4. Data Analysis: Analyse trading data, order flow, communications, and other relevant information to assess trading behaviours and identify potential compliance issues.
5. Regulatory Compliance: Stay up-to-date with relevant financial regulations and internal policies, ensuring trading activities adhere to all applicable rules and regulations.
6. Reporting: Prepare and maintain reports on surveillance findings, trends, and issues, and communicate these findings to the Compliance and Risk Management teams.
7. Collaboration: Work closely with compliance officers, traders, and other stakeholders to facilitate investigations and implement corrective actions.
8. Documentation: Maintain detailed records of surveillance activities and findings, ensuring compliance with record-keeping requirements.
9. Training and Awareness: Contribute to the development and delivery of training programs to enhance the understanding of regulatory compliance among trading desk personnel.
10. Process Improvement: Identify opportunities for process improvements and enhancements in surveillance methodologies and tools.

Qualifications:

• Bachelor’s degree in finance, economics, business, or a related field. Advanced degrees and relevant certifications (e.g., CFA, CFE, CAMS) are a plus.
• 3+ years of experience in trade surveillance, compliance, or a related field within the financial industry, with specific experience in Credit and Rates, Foreign Exchange & Treasury, Debt Capital Markets, Securitisation, and Global Investment Banking desks.
• Proficiency in utilizing trade surveillance systems, data analytics tools, and trading platforms. Actimize would be a preference.
• Strong understanding of relevant financial regulations, including but not limited to MiFID II, Dodd-Frank, and other global regulatory frameworks.
• Analytical mindset with the ability to interpret complex data and recognize patterns or irregularities.
• Excellent communication and interpersonal skills, with the ability to interact effectively with various stakeholders.
• Strong organizational skills, attention to detail, and the ability to manage multiple tasks simultaneously.

Salary on offer is at VP level. Please email me for more information and a full job description.

Ne@barclaysimpson.com