Full Time Posted a month ago
I'm Interested

Job Type

Full Time

Job Details

As a Compliance Professional in the Trade Surveillance Strategy group, the candidate will support the group's Quality Management (QM) function. Specifically, the candidate will be responsible for executing the Quality Assurance (QA) / Quality Control (QC) elements. In this role, the candidate will work closely with global Compliance monitoring teams, Technology teams, and the Surveillance Strategy team to execute the strategic objectives of the program and BAU activities related to improving the effectiveness and efficiencies of the program.

              Primary Responsibilities:

  • Responsible for the execution of quality assurance reviews of surveillance activities, including alert review methodology and disposition, to validate and ensure the quality of people, surveillance controls and data upon which the program depends upon
  • Support the ongoing design, development, and production of global surveillance metrics related to Quality Assurance reviews
  • Help to drive innovation and continuous improvement within the global Compliance Monitoring program through identification of improvement opportunities, oversight of critical remediation efforts and promotion of best practices and process optimization
  • Collaborate with other functional areas to determine Quality Management best practices and implement accordingly
  • Support and provide input into related surveillance programs including the ongoing creation of global surveillance metrics, KRIs and KPIs
  • Escalate performance matters to appropriate stakeholders in Central/Regional Compliance, oversee the remediation efforts and validate the corrective action was taken

    Requirements Experience:
  • Minimum of 5 years of relevant working experience preferably in conducting / supervising market abuse surveillance or related activities in the financial services industry
  • Working knowledge of financial markets in the institutional Sales and Trading businesses (i.e., Equities, Fixed Income, FX and Commodities)
  • Preference will be given to candidates with experience using SMARTS Broker, Actimize, Bloomberg, and/or other vendor tools

    Skills and Qualities:
  • Knowledge of global markets / market regulations
  • Excellent verbal and written English communication skills — ability to effectively correspond with various groups and senior professionals over email and the telephone
  • Strong Analytical Skills and attention to detail
  • Interest in or appreciation for technology, data, and metrics reporting
  • Ability to work with cross-functional, and cross-regional, teams spanning Compliance, and Technology.
  • Excellent presentation and interpersonal skills, including the ability to communicate clearly and concisely both verbally and in writing
  • Proficiency with Microsoft Excel, PowerPoint, Word, and IT systems generally
  • Working knowledge of Tableau will be viewed favorably
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Trade Surveillance Analyst
I'm Interested