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Reed Talent Solutions is seeking a Trade Surveillance Officer at the Associate/VP level for a full-time permanent position. This role is based in London, with a hybrid working arrangement requiring three days of attendance in the office. The job is crucial to the operations of a global investment bank's Compliance Surveillance Team, which is responsible for designing, implementing, and testing surveillance models across various business lines.
The role of the Trade Surveillance Officer involves several core responsibilities aimed at monitoring and ensuring compliance within the bank's trading activities. These responsibilities include:
Monitoring Trades, Orders, RFQs, and Market Data daily.
Assisting in the development and implementation of new monitoring controls beyond what is already established.
Following up on alerts requiring changes, calibration, or general improvements.
Compiling breach and incident reports from monitoring efforts and reporting these to the UK Head of Surveillance.
Creating and documenting comprehensive user guides and desktop procedures to maintain up-to-date policies.
Contributing to the maintenance of the annual Compliance Surveillance work plan.
Reporting any issues related to data input and output that affect market data and monitoring.
Identifying and escalating potential cases of Market Abuse, Operational Risk, and other market integrity concerns revealed through alert processes.
Ensuring the efficient escalation of potential breaches and tracking them as needed.
Recording and making monitoring findings retrievable for senior management reporting.
Proactively identifying gaps and weaknesses in surveillance and monitoring activities, taking steps to address them.
Candidates interested in this position should possess a solid set of skills and qualifications that align with the responsibilities outlined above. The ideal candidate will have:
A strong understanding of basic Capital Market products such as Origination, Syndication, Credit and Rates, Structured Products, and Foreign Exchange.
Extensive experience in controls development, specifically streamlining processes and controls within compliance environments.
A demonstrated ability to review and analyze data, presenting results statistically in Management Information (MI) format.
Proven success in delivering high-quality compliance MI reports to senior management, showcasing the ability to execute compliance reports and investigations or similar regulatory reports.
Experience tracking and documenting investigations thoroughly until resolution.
Exceptional written communication skills, particularly in engaging with senior management and conveying complex compliance issues effectively.
Strong analytical skills to defend and persuade a position when necessary.
The position does not disclose specific salary details; instead, it emphasizes the value of the role within the organization's regulatory framework. As such, applicants may expect competitive remuneration typical for positions at this level within the banking sector. The role is integral to maintaining the integrity of the bank's trading practices and ensuring compliance with relevant regulations, making it pivotal for any candidate pursuing roles within financial services and compliance sectors.
The Trade Surveillance Officer is not only a technical role focused on data analysis and surveillance but also a position that requires strong interpersonal skills as the officer will engage with various departments to enhance monitoring controls and report findings. As part of the Compliance Surveillance Team, the officer’s contributions will significantly impact the organization’s ability to remain compliant with regulatory requirements and maintain market integrity.
Potential applicants are encouraged to apply promptly, as the text indicates that candidates who resonate with the position’s requirements are likely to be contacted shortly after their applications. Candidates are likely to undergo a strategic vetting process to determine their fit within the compliance framework and organizational culture.
Working in London presents exposure to a vibrant financial market environment, offering opportunities for career growth and networking within the financial services community. Overall, this role presents an excellent opportunity for candidates looking to advance their careers in compliance and surveillance within a leading investment bank. Those equipped with the necessary expertise and a proactive approach to compliance will find this position particularly exciting.
This job offer was originally published on jooble.com
This job offer summary has been generated using automated technology. While we strive for accuracy, it may not always fully capture the nuances and details of the original job posting. We recommend reviewing the complete job listing before making any decisions or applications.
