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Regulatory Policy Director

1 month ago

London, Greater London, United Kingdom Barclay Simpson Full time
Trade Surveillance VP Job Description

At Barclay Simpson, we are seeking a highly skilled Trade Surveillance VP to join our team. As a key member of our compliance team, you will play a critical role in ensuring the integrity and compliance of trading activities across multiple desks.

Key Responsibilities:
  • Monitoring: Assist in the development and implementation of new monitoring controls to ensure trading activities are in line with regulatory requirements.
  • Alert Generation: Utilize surveillance tools and systems to generate alerts on potential market misconduct and regulatory breaches, investigating and escalating as necessary.
  • Data Analysis: Analyze trading data, order flow, communications, and other relevant information to assess trading behaviors and identify potential compliance issues.
  • Regulatory Compliance: Stay up-to-date with relevant financial regulations and internal policies, ensuring trading activities adhere to all applicable rules and regulations.
  • Reporting: Prepare and maintain reports on surveillance findings, trends, and issues, and communicate these findings to the Compliance and Risk Management teams.
  • Training and Awareness: Contribute to the development and delivery of training programs to enhance the understanding of regulatory compliance among trading desk personnel.
Requirements:
  • Bachelor's degree in finance, economics, business, or a related field. CFA, CFE, CAMS) are a plus.
  • 3+ years of experience in trade surveillance, compliance, or a related field within the financial industry, with specific experience in Credit and Rates, Foreign Exchange & Treasury, Debt Capital Markets, Securitisation, and Global Investment Banking desks.
  • Proficiency in utilizing trade surveillance systems, data analytics tools, and trading platforms.
  • Strong understanding of relevant financial regulations, including but not limited to MiFID II, Dodd-Frank, and other global regulatory frameworks.
  • Analytical mindset with the ability to interpret complex data and recognize patterns or irregularities.