Assistant Vice President Communication Surveillance

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Assistant Vice President - Communication Surveillance.

JobResponsibilities:

• Review e-communications/audio surveillance alerts for potential market abuse and misconduct and escalate them where appropriate
• Contribute to the ongoing testing and calibration of surveillance systems and controls to ensure market abuse risks are being identified against a continuously evolving risk and regulatory landscape
• Co-ordinate with colleagues across the wider Surveillance function ensuring consistency where appropriate and promoting best practices
• Forge strong working relationships with stakeholders from the businesses we protect and enable as well as colleagues in Compliance Risk and the Control Offices acting as ambassadors for Surveillance showcasing
• Support ongoing strategic endeavors such as the roll out of next generation trade surveillance capabilities across business lines and regions
• Engage effectively with Surveillance colleagues in regional business line data management IT transformation product management and Centre of Excellence teams
• Perform Ecomms/audio on Market and Securities Services traders and customers across an array of asset classes including equities fixed income Forex and derivatives for potential market abuse and escalate them where appropriate
• Draft and submit compelling regulatory filings based on evidence gathered through in-depth intelligence-led surveillance investigations

JobRequirements:

• Possession of an inquisitive and investigative mind-set and a willingness to learn and develop is key to success in this role
• A strong understanding of financial markets and regulation with focus on equities fixed income and derivatives.
• Experience of working in a dealing/trading environment is preferable but not essential
• Experience of working in a surveillance monitoring or investigative function is preferable
• Experience of working internationally is preferable but not essential
• Knowledge of surveillance tools such as TradingHub Bloomberg Transaction Cost Analysis (BTCA) and Digital Reasoning is preferable but not essential
• Strong interpersonal and stakeholder engagement skills are essential
• Additional language ability will be an advantage

CandidatewithlessrelevantexperienceorskillsmaybeofferedalowerGlobalCareerBandthanstatedabove.

Duetotheurgenthiringneedcandidateswithimmediaterighttoworklocallyandnorelocationneedwillbeprioritized.

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