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VP Compliance Advisory

1 month ago

London, United Kingdom Black Swan Group Full time
Job Description

An Investment Bank is looking to appoint a VP into their surveillance and advisory function. This would be suitable for a VP or a strong AVP looking to make the step up.

Responsibilities:

  • Conduct oversight of trade surveillance alerts via the Firm’s surveillance systems, based on escalations from the core surveillance team.
  • Assisting in the timely resolution and escalation of exchange, regulatory or internal investigations and enquiries
  • Delivering certain face-to-face Compliance training as required in line with regulatory requirements and annual training objectives
  • Undertake and lead ad-hoc internal investigations in relation to suspected instances of Market Abuse and/or Financial Crime

Requirements:

  • Bachelor’s degree in business, finance, economics, or any relevant field of discipline
  • At least 5 years of prior experience in compliance or Surveillance role with focus in the detection and review of potential risks, especially market abuse and manipulation
  • Knowledge in reviewing market abuse scenarios (e.g. frontrunning, layering, spoofing, ramping) and the use of market surveillance systems like Nasdaq SMARTS, Scila, etc.
  • A strong understanding of traded products such as Fixed Income, Forex, Futures, Options, and Commodities would be advantageous.

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