VP Trade Surveillance

6 days ago

London, Greater London, United Kingdom Jacobson Garner Full time
Job Description

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. As part of their ongoing expansion, they are seeking a highly skilled and experienced VP Trade Surveillance Compliance Officer to join the team in London.

Role Overview:

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.

Key Responsibilities:

  • Trade Surveillance: Oversee and enhance the trade surveillance programme to detect and prevent market abuse and other illicit activities. Utilise advanced surveillance tools to monitor trading patterns and behaviours across FX, Credit, or Rates.
  • Compliance Monitoring: Conduct thorough investigations into suspicious trading activities and report findings to senior management and regulatory authorities as required.
  • Regulatory Adherence: Ensure compliance with all relevant regulations, including MAR (Market Abuse Regulation) and MiFID II. 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. Provide expert guidance and support on trade-related compliance matters.
  • Training and Development: Lead training initiatives to educate staff on market abuse regulations, trade surveillance protocols, and best practices in compliance.

Qualifications and Experience:

  • Industry Experience: Minimum of 8 years' experience in a trade surveillance or compliance role within an investment bank or similar financial institution.
  • Product Knowledge: In-depth understanding of FX, Credit, or Rates trading products and markets.
  • Regulatory Expertise: Comprehensive knowledge of market abuse regulations, including MAR and MiFID II. 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.
  • Communication Skills: Excellent verbal and written communication skills, with the ability to convey complex information clearly and concisely to stakeholders at all levels.

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