Regulatory Policy Director

5 days ago


London, Greater London, United Kingdom Barclay Simpson Full time

Barclay Simpson is a leading financial services firm with an office in central London. We are seeking a skilled Trade Surveillance VP to join our team.

The estimated salary for this position is £120,000 - £180,000 per annum.

Job Summary:

  • Mission-Critical Role: As a Trade Surveillance VP at Barclay Simpson, you will play a critical role in ensuring the integrity and compliance of trading activities across multiple desks, including Credit and Rates, Foreign Exchange & Treasury, Debt Capital Markets, Securitisation, and Global Investment Banking.
  • Monitoring and Analysis: You will assist in developing and implementing new monitoring controls, utilizing surveillance tools and systems to generate alerts on potential market misconduct and regulatory breaches, investigating and escalating as necessary.
  • Data-Driven Insights: Analyze trading data, order flow, communications, and other relevant information to assess trading behaviours and identify potential compliance issues.
  • Regulatory Expertise: Stay up-to-date with relevant financial regulations, including but not limited to MiFID II, Dodd-Frank, and other global regulatory frameworks.
  • Reporting and Communication: Prepare and maintain reports on surveillance findings, trends, and issues, communicating these findings to the Compliance and Risk Management teams.

Requirements:

  • Educational Background: A Bachelor's degree in finance, economics, business, or a related field, CFA, CFE, CAMS) is a plus.
  • Professional Experience: 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.
  • Technical Skills: Proficiency in utilizing trade surveillance systems, data analytics tools, and trading platforms.


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