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Trade Surveillance Vice President

  • London
  • negotiable
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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

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We seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics. We also invite applicants who meet most of the listed requirements, even if not all, to apply. If you require any adjustments to the application process, please let us know.

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Nick Evans – Compliance

Executive Consultant

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