Regulatory Policy Director
5 days ago
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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