Vice President - Trade Surveillance - Banking/Financial Services

Total Experience: 10 - 16 years (Minimum 5 to 7 years recent experience in Core trade surveillance is a must)

Role Type: IC Role

Level: Vice President

Target Industry: Global Banks

Purpose of the role: To monitor and analyse market activity for potential signs of abuse or manipulation, verifying that there is adherence to regulatory requirements and internal policies and taking action to mitigate market misconduct.

Accountabilities:

• Monitoring market activities continuously, including order flows, prices, trading volumes and communications to identify potential irregularities or market misconduct.
• Conducting in-depth investigations to gather evidence and assess the risk of market manipulation, insider trading, or other misconduct.
• Business support in projects related to the firm's market surveillance framework.
• Regulatory query and internal/external audit support.
• Provision of accurate and timely reports to regulatory authorities, internal stakeholders, and management regarding market surveillance activities, incidents, and trends.
• Execution of appropriate controls aligned to the control framework and related firm-wide standards.
• Control environment support in relation to data quality, model effectiveness and efficiency.

Experience required:

• A proven track record in the implementation and ongoing maintenance of a Markets Surveillance program including oversight/strong contributions to the associated market abuse risk assessment process.
• Strong understanding of Market Surveillance risks/typologies, especially in the Fixed Income space, and how they present themselves in the underlying data and transaction flows of the various products traded.
• Good understanding of the power of analytics to supplement global surveillance strategies.
• Detailed understanding of applicable regional and global laws and regulations which govern and inform surveillance activities (e.g. MiFID II, MAR etc).
• Excellent understanding of how Compliance and its sub-functions interact with each other and the business and how Surveillance work with these areas to meet our functional objectives.

Required Skills:

• Strong understanding of Global markets; asset classes, trading platform/venues.
• Expertise in Fixed Income and related derivatives.