Market Abuse Surveillance

8 months ago

London, United Kingdom Tandem Search Full time

A- Posted by
- AJ Biasca- Recruiter**Job Purpose**
The Market Abuse Surveillance team ensures strong oversight over the methods by which the bank detects potential misbehaviour from our clients and employees, escalates potential issues to Senior Management, and reports potential issues to our regulators. The team offers expertise on all Market Abuse risks in Global Markets, CIB, and other parts of the bank.
In terms of market abuse risks, market abuse surveillance contributes to compliance by guaranteeing the use of instruments to identify market abuse and the execution of guidelines and protocols to control such risks.
Reporting to the Global Head of CIB Compliance, the Global Head of Market Abuse Surveillance is a member of the Compliance CIB.

**Key Responsibilities**
As a member of the CIB Compliance Team, the Global Head of Market Abuse Surveillance oversees the coordination and execution of the surveillance system in all areas. The preferred global "Point of Contact" for coordinating compliance surveillance oversight globally is the Global Head of Market Abuse Surveillance. Despite reporting directly to the worldwide Head, the EMEA Head of Market Abuse Surveillance is expected to work closely with others on a worldwide scale. The Global Head oversees the coordination and control of Market Abuse Surveillance for the entire Group, even though the position is under CIB Compliance.

**Key responsibilities of the role are**:

- Serve as the bank's global point of contact for senior management from all business lines about matters pertaining to Market Abuse surveillance, Comex members of Compliance, and external regulators.
- In collaboration with the regional heads of compliance, market integrity, and the global market integrity domain, design and implement the global strategic vision for the market abuse surveillance program throughout the shared surveillance setup and establish a global surveillance framework to adhere to market integrity regulations.
- Establish and implement business oversight and compliance surveillance programs to guarantee appropriate risk mitigation in all areas.
- Create and put into effect worldwide uniformity in governance, policies, standards, and risk monitoring throughout the surveillance system.
- Provide a targeted surveillance framework that is consistent, thorough, and sensitive to the growing demands of regulatory bodies and new threats.
- Uphold a globally integrated surveillance framework across trade, e
- commerce, voice, and (where applicable) money laundering investigations within compliance by harmonizing common tools, policies, risk thresholds, and escalation/reporting protocols, as well as by aligning and communicating with relevant investigative teams.
- Strengthen control over Trade and E-Comm surveillance models and metrics monitoring, testing procedures, technological tool governance, and organized voice surveillance inside CIB Compliance.
- Choose the best technical tools and collaborate with local teams to syndicate them.
- Direct judgments about nearshoring and other strategic resource requirements, as well as global resource demands in compliance with budgetary surveillance.
- Closely collaborate with business management on new problems and strategic initiatives.
- Find ways to improve global efficiencies by streamlining procedures, and lead implementation efforts with regional and technology teams.
- Keep an eye on the effectiveness of the shared surveillance configuration; identify problems, infractions, and opportunities for enhancement concerning policies or legal, regulatory, or ethical requirements.
- To guarantee the prompt and effective implementation of suitable risk controls worldwide, collaborate with global counterparts (i.e., supervision, risk framework, AML transaction monitoring, conduct, and internal audit) and other important stakeholders across the three lines of defence.
- Participate in decision-making procedures concerning fraud, market misuse, supervision/conduct-related inquiries, and other internal issues.
- Act as the Compliance representative with reference to issues arising from regulatory investigations and reviews. Lead and facilitate talks with regulatory bodies regarding closure and remedy on behalf of
- Oversee the entire acquisition process for the onboarding or improvement of surveillance technologies, from the proof of concept and demo phases through the complete production release of updates. Ensure that top management from all stakeholder groups (such as IT, record retention, front office conduct and surveillance, legal, etc.) collaborates by directing the process.
- Amongst other business functions, coordinate and grant final permission on Global SLAs to support surveillance initiatives. Examine and settle relevant cross-border concerns, such as those involving scope, client data, privacy, etc.
- Communicate with the Bank's Senior Management in all business areas and geographical areas. Advocate for the global complia

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