Trade Surveillance Alert Reviewer

3 weeks ago

London, United Kingdom Bank of America Full time

**Job Title**:Trade Surveillance Alert Reviewer**

**Corporate Title: VP / Director**

**Location: London**

**Company Overview**

At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.

One of the keys to driving Responsible Growth is being a great place to work for our teammates around the world. We’re devoted to being a diverse and inclusive workplace for everyone. We hire individuals with a broad range of backgrounds and experiences and invest heavily in our teammates and their families by offering competitive benefits to support their physical, emotional, and financial well-being.

Bank of America believes both in the importance of working together and offering flexibility to our employees. We use a multi-faceted approach for flexibility, depending on the various roles in our organization.

Working at Bank of America will give you a great career with opportunities to learn, grow and make an impact, along with the power to make a difference. Join us

**LOB Overview**

The Global Markets (GM) Business Controls Office (BCO) is responsible for the creation, maintenance and oversight of a robust supervision and control infrastructure relating to non-financial risk, including but not limited to compliance with regulatory rules and guidance as well as operational controls in partnership with the business Front Line Unit (FLU).

BCO is a global group with teams in many locations including New York, Charlotte, London, Paris, Hong Kong, Singapore and Tokyo providing control oversight to Sales, Trading, Electronic/Algorithmic and Research businesses across Global Markets in respect of regulatory and governance programs.

**Role Description**

BCO has an open role for a Business Controls Officer, at VP or Director level, to work alongside a global team of trade surveillance specialists, focused in one of the following: FX, Rates, Credit, Commodities, Mortgages, Equities, E-Trading. This position will require a good and demonstrable experience in trade surveillance alert investigation and dispositioning and a good understanding of Market Misconduct behaviors and other Trading and Sales applicable regulations related to this asset class, to support key aspects of the bank’s Trade Surveillance Framework in the FLU or 1st Line.

This collaborator will also work closely with the line of business (LOB) supervisors and Senior Management/Chief Operating Officers and other support functions (e.g., Compliance, Enterprise Independent Testing (EIT), Risk, Operations and Technology, Legal, Audit and Human Resources). Their goal will be to disposition trade surveillance alerts, identify instances where surveillance can be improved to reduce noise from false-positive alerts and to ensure the lines of business are in compliance with applicable rules, regulations and implementing industry best practices.

**What we are looking for**
- Ability to thrive in a fast-paced and high-pressure environment;
- Work within a regional GM BCO team to review, disposition and investigate Trade Surveillance alerts;
- Work with and escalate to the Central Trade Surveillance team within the GM BCO function, escalating where further investigation is required, where gaps are discovered or proposing changes/improvements to surveillance scenarios to reduce false positives alerts;
- Work as a team to maintain global transparency and consistency (where appropriate) of roles, processes and accountabilities, and enhance governance and associated documentation;
- Provide support to those interacting with Regulatory agencies (e.g. OCC, FINRA, SEC, PRA, FCA, etc.) as required;
- Work with global GM BCO and internal stakeholders to identify control gaps, design, implement and track through SIAIs remedial actions to close and continue to improve conduct and culture within the business and wider organization;
- Provide BCO input into Enterprise and Global Markets policies and procedures;
- Represent Global Markets BCO at various committees, forums and meetings as required; and
- Act as an escalation point to BCO and local FLU leadership for any items that require escalation, awareness or approval.

**Experience required**
- Previous experience of demonstrable trade surveillance alert review and dispositioning;
- Bachelor's degree preferred or equivalent experience;
- Understanding of Market Misconduct behaviors across Trading and Sales business;
- Ability to work collaboratively across multiple stakeholders and deliver results in a timely manner;
- Self-starter with ability to multitask and manage competing priorities, managing effectively in a dynamic environment;
- Excellent verbal and written communication skills with the ability to articulate complex concepts in a clear and concise manner;
- Attention to detail and high standard for quality work produ

  • Trade and Comms Surveillance

    1 month ago

    London, United Kingdom LHH Recruitment Solutions Full time

    Team lead for all surveillance activities relating to the identification, monitoring and investigation of suspicious trading activities from initial escalation through to resolution Identify and lead changes to the surveillance process and automated alerting to drive effectiveness and efficiencies. Perform periodic reviews on the effectiveness of market...

  • Trade Surveillance Officer

    1 month ago

    London, United Kingdom Jameson Legal Full time

    An opportunity has arisen to work with an international trading firm operating on London's global markets. They are seeking compliance professionals with a background in compliance/monitoring who are familiar with forms of market abuse. This opportunitywill provide exposure to the broader compliance requirements within a trading business as there will be...

  • Trade Surveillance Officer

    1 month ago

    London, United Kingdom eFinancialCareers Full time

    An opportunity has arisen to work with an international trading firm operating on London's global markets. They are seeking compliance professionals with a background in compliance/monitoring who are familiar with forms of market abuse. This opportunitywill provide exposure to the broader compliance requirements within a trading business as there will be...

  • Surveillance Officer

    1 month ago

    London, United Kingdom eFinancialCareers Full time

    Fixed Income Trading Venue is seeking a Trade Surveillance Officer to lead the Trade, E-communications, and Voice communications surveillance for our firm. This is an exciting opportunity for a sales and trading Surveillance VP with fixed Income experience. As the Trade Surveillance Officer, you will report directly to the head of compliance and have sole...

  • Trade Surveillance Analyst

    1 week ago

    London, United Kingdom Canaccord Genuity UK Full time

      Role Responsibilities Continuously monitor real-time and historical trading data to detect unusual or suspicious trading patterns. Use surveillance systems and analytical tools to identify potential cases of market abuse, such as insider trading, spoofing, front-running, wash trades, and other manipulative practices. Analyse large volumes of trade data...

  • Trade Surveillance Analyst

    5 days ago

    London, United Kingdom Canaccord Genuity UK Full time

      Role Responsibilities Continuously monitor real-time and historical trading data to detect unusual or suspicious trading patterns. Use surveillance systems and analytical tools to identify potential cases of market abuse, such as insider trading, spoofing, front-running, wash trades, and other manipulative practices. Analyse large volumes of trade...

  • VP Compliance Advisory

    1 day ago

    London, United Kingdom Black Swan Group Full time

    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...

  • VP Compliance Advisory

    2 days ago

    London, United Kingdom Black Swan Group Full time

    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...

  • VP Compliance Advisory

    22 hours 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...

  • VP Compliance Advisory

    1 day ago

    London Area, United Kingdom Black Swan Group Full time

    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...

  • VP Compliance Advisory

    2 days ago

    London Area, United Kingdom Black Swan Group Full time

    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...

  • Asset Wealth Management

    4 weeks ago

    London, United Kingdom JPMorgan Chase & Co Full time

    **JOB DESCRIPTION** In this role you will be conducting trade surveillance through the review of risk specific exceptions reports (alerts) on products across all asset classes. You will escalate alerts as required, when potential market misconduct and other manipulative behaviors are identified. **Job responsibilities** - Daily surveillance alert reviews -...

  • Trade Surveillance SME

    1 week ago

    London, United Kingdom Pontoon Full time

    Adecco is an employment consultancy. We put expertise, energy, and enthusiasm into improving everyone's chance of being part of the workplace. We respect and appreciate people of all ethnicities, generations, religious beliefs, sexual orientations, gender identities, and more. We do this by showcasing their talents, skills, and unique experience in an...

  • Trade Surveillance SME

    1 week ago

    London, United Kingdom Pontoon Full time

    Adecco is an employment consultancy. We put expertise, energy, and enthusiasm into improving everyone's chance of being part of the workplace. We respect and appreciate people of all ethnicities, generations, religious beliefs, sexual orientations, gender identities, and more. We do this by showcasing their talents, skills, and unique experience in an...

  • Trade Monitoring and Surveillance Specialist

    1 month ago

    London, United Kingdom UBS Full time

    United Kingdom - Compliance, Equities - Group Functions **Job Reference #** - 275349BR **City** - London **Job Type** - Full Time **Your role** - The role is to undertake trade surveillance monitoring for the IB UK business activities within the MS&C UK Regional Team to ensure adherence to the key Market Conduct taxonomy, regulatory requirements and...

  • Trade Surveillance Analyst

    3 weeks ago

    London, United Kingdom Meraki Talent Ltd Full time

    Meraki Talent are working with an exciting FinTech company. They are dedicated to revolutionizing the financial industry through innovative technology and exceptional talent. Job Description: Our client are seeking a highly motivated and detail-oriented Trade Surveillance Analyst to join their dynamic team. The Trade Surveillance Analyst will be...

  • Trade Surveillance Analyst

    3 weeks ago

    London, United Kingdom Meraki Talent Ltd Full time

    Meraki Talent are working with an exciting FinTech company. They are dedicated to revolutionizing the financial industry through innovative technology and exceptional talent. Job Description: Our client are seeking a highly motivated and detail-oriented Trade Surveillance Analyst to join their dynamic team. The Trade Surveillance Analyst will be...

  • Market Abuse Surveillance Team Lead

    1 month ago

    London, United Kingdom Glencore Full time

    **Market Abuse Surveillance Team Lead** **London, UK** We are seeking a Market Abuse Surveillance Team Lead to join our team of senior experts. Reporting to the Global Head of Surveillance, you will be responsible for conducting surveillance analysis at an expert level and overseeing the teams work. You will work closely with the team to analyse...

  • Trade Surveillance

    4 weeks ago

    London, United Kingdom Bruin Full time

    Ref: 36313**TRADE SURVEILLANCE SPECIALIST REQUIRED**I am looking for Senior level Trade Surveillance specialists, focused in one of the following: FX, Rates, Credit, Commodities, Mortgages, Equities, E-Trading.Competitive SalaryGet in touch for more details and a confidential chat.hashtag#tradesurveillancehashtag#marketabuse  Bruin recognises the positive...

  • Market Abuse Surveillance

    4 weeks ago

    London, United Kingdom Cowen, Inc Full time

    **JOB OVERVIEW**: TD Cowen is looking for a Market Abuse Surveillance Analyst to join its Compliance team in London on a 4 month fixed term contract. Specific responsibilities will include, but are not limited to: - Identifying suspicions of market abuse through the use of an automated monitoring tool - Investigating and closing out alerts on a timely...