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Regulatory Policy VP

4 months ago

London, United Kingdom Jacobson Garner Full time

A leading global financial services firm renowned for our unwavering commitment to innovation, integrity, and excellence. An extensive portfolio of services encompasses a broad range of financial products and solutions, catering to an international clientele. The VP Trade Surveillance Compliance Officer will play a pivotal role in ensuring our firm adheres to the highest standards of regulatory compliance. This senior position requires a deep understanding of trade surveillance, market abuse regulations, and extensive product knowledge in FX, Credit, or Rates. The successful candidate will be responsible for monitoring trading activities, identifying potential risks, and implementing robust compliance frameworks to mitigate these risks.

Compliance Monitoring: Conduct thorough investigations into suspicious trading activities and report findings to senior management and regulatory authorities as required.
Regulatory Adherence: Stay abreast of regulatory changes and updates, advising the firm on necessary adjustments to policies and procedures.
Risk Management: Identify and assess compliance risks associated with trading activities. Develop and implement effective strategies to mitigate these risks, ensuring the firm's adherence to regulatory requirements.
Stakeholder Collaboration: Work closely with traders, compliance teams, and senior management to foster a culture of compliance and integrity. Training and Development: Lead training initiatives to educate staff on market abuse regulations, trade surveillance protocols, and best practices in compliance.

Industry Experience: Minimum of 8 years’ experience in a trade surveillance or compliance role within an investment bank or similar financial institution.
Regulatory Expertise: Experience in dealing with regulatory bodies is highly desirable.
Analytical Skills: Strong analytical and problem-solving skills with the ability to interpret complex trading data and identify unusual patterns or behaviours.