Compliance Senior Manager I
Compliance Senior Manager I
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Job Description
Excited to grow your career
BBVA is a global company with more than 160 years of history that operates in more than 25 countries where we serve more than 80 million customers. We are more than 121000 professionals working in multidisciplinary teams with profiles as diverse as financiers legal experts data scientists developers engineers and designers.
About the job:
About the Role:
We are seeking a seasoned Senior Trade Surveillance Specialist to join our dynamic compliance and surveillance team at a leading global financial institution. This role plays a critical part in ensuring the integrity of our trading activities across listed and over-the-counter (OTC) equity and fixed income products in the U.S. market. You will work closely with our global trade surveillance teams to ensure alignment with internal policies regulatory expectations and industry best practices.
Key Responsibilities:
- Conduct daily trade surveillance reviews for listed and OTC equity and fixed income products with a focus on identifying potential market abuse manipulation or other anomalous trading behavior.
- Analyze and escalate alerts and trading patterns that require further review or potential escalation to senior management.
- Collaborate closely with global trade surveillance colleagues to ensure consistent and comprehensive monitoring across all regions.
- Liaise between Compliance Front Office and other stakeholders to support investigations and ensure issues are addressed promptly and thoroughly.
- Participate in cross-functional governance and reporting forums contributing to a cooperative supervisory structure.
- Assist in tuning and enhancing surveillance models and systems to improve detection and reduce false positives.
- Stay current with relevant regulatory developments particularly those affecting swap dealers security-based swap dealers and fixed income markets.
Qualifications:
- 10 years of experience in the financial services industry with a minimum of 5 years in a trade surveillance or related compliance role.
- Solid understanding of capital markets and financial instruments across asset classes; strong expertise in fixed income products is highly desirable.
- Experience with Swap Dealer or Security-based Swap Dealer activity is a plus.
- Familiarity with regulatory frameworks including SEC FINRA CFTC NFA and other U.S. regulators.
- Proficiency in trade surveillance tools and data analysis platforms; experience with market surveillance systems (e.g. Actimize SMARTS or similar) is preferred.
- SIE and Series 7 licenses are advantageous.
- Spanish language proficiency is a plus.
- Excellent analytical investigative and communication skills.
- Demonstrated ability to manage competing priorities in a fast-paced and evolving regulatory environment.
All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin disability or status as a protected veteran.
With respect to this position in our Houston Office the expected base salary ranges from $150000 to $180000. It is not typical for offers to be made at or near the top of the range. Salary offers are based on a wide range of factors including relevant skills training experience education and where applicable certifications obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package successful candidates are eligible to receive a discretionary bonus.
*Employment eligibility to work with BBVA in the U.S. is required as the company will not pursue visa sponsorship for these positions
Legal requirements
It is not typical for offers to be made at or near the top of the range. Salary offers are based on a wide range of factors including relevant skills training experience education and where applicable certifications obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package successful candidates are eligible to receive a discretionary bonus.
Pay Transparency Policy Statement
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about discussed or disclosed their own pay or the pay of another employee or applicant. However employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information unless the disclosure is (a) in response to a formal complaint or charge (b) in furtherance of an investigation proceeding hearing or action including an investigation conducted by the employer or (c) consistent with the contractors legal duty to furnish information (41 C.F.R. 60-1.35 (c)).
Individuals with Disabilities
BBVA USA BBVA Securities Inc. and BBVA S.A. New York Branch invite all interested and qualified applicants to apply for employment opportunities. If you are a U.S.-based job seeker with a disability who is unable to use our online tools to search and apply for jobs please contact us by emailing: or by calling toll-free (in the U.S.) 1-. Please indicate the specific type of assistance needed*.
*The disability access telephone line and email address are reserved solely for job seekers with disabilities requesting accessibility assistance or an accommodation. Please do not call about the status of your job application if you do not require accessibility assistance or an accommodation. Messages left for other purposes such as following up on an application or non-disability related or technical issues will not receive a response.
EEO Statement
BBVA USA BBVA Securities Inc. and BBVA S.A. New York Branch have a firm and unwavering policy to provide equal employment opportunity without regard to age citizenship color disability ethnic origin gender gender identity and expression marital status nationality national origin race religion sexual orientation genetic predisposition protected veteran status or any other status or classification protected by federal state or local law. This policy includes all job groups classifications and organizational units. With regard to employment this policy extends to applicants and covers our recruiting hiring promotion transfer demotion discipline termination benefits compensation and training practices as well as social and recreational activities.
View the EEO is the Law & View the EEO is the Law Supplement Poster poster. BBVA USA BBVA Securities Inc. and BBVA NY are equal opportunity and affirmative action employer.
Required Experience:
Senior Manager
Employment Type
Full-Time
