Market Abuse Surveillance – Senior Vice President

At BNY, our culture allows us to run our company better and enables employees' growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world's investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.

Recognized as a top destination for innovators and champions of inclusion, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what is all about. Join us and be part of something extraordinary.

We're seeking a future team member for the role of Market Abuse Surveillance – Senior Vice President to join our Compliance Surveillance team. This role is located in London, UK.

At BNY, compliance is everyone's responsibility. Accordingly, compliance and ethical standards are core components of all business functions and are fundamental to the culture and values of the company. All decisions and actions on behalf of the company must adhere to the highest standards of integrity.

Team Description

The Compliance Surveillance team is a dynamic team working to support BNY's execution businesses across multi-asset classes including:

• FX
• Fixed Income
• Equities
• Securities Finance

This role is a senior position within the Control surveillance team. The successful candidate will be able to help build and enhance accountability and control capabilities for market abuse surveillance across BNY. The candidate will help the team to achieve this through identification of risks through the market abuse risk assessment and through discussions with lines of business. The candidate will then help to ensure that controls are created to mitigate any inherent risks that have been identified through the firm's strategic surveillance solution. The candidate should also be able to work with technology teams to help create tactical controls where needed to supplement any strategic surveillance to fully mitigate any residual risks.

Promotion of a regulatory framework that is robust in meeting surveillance requirements across BNY's businesses is a primary objective. The successful candidate will have a good knowledge and understanding of both global regulation (including FINRA/MiFID/MAR) and financial markets. As a result, the successful candidate will be able to provide regulatory input into market abuse surveillance activities, help deal with enquires from regulators, audit and other business partners as required.

Analyzing and preparing surveillance MI will be a requirement of this role, and the candidate will be expected to help identify areas where controls require optimization. Working with data science colleagues, the candidate will assist with parameter reviews and then work with model risk to help ensure any changes are implemented.

The successful candidate will also have a solid understanding of pricing dynamics in global markets and be familiar with pricing concepts for some or all of FX, Equities and Fixed Income products. In addition, an ability to help drive technology changes including AI across the team and highlight areas where technology enhancements can be made.

Other Responsibilities Will Include

• Assisting with the management of Compliance and Regulatory risks.
• Responding to and participate in the preparation of responses to regulatory requests when required.
• Work with internal audit, compliance testing and other internal stakeholders.
• Promoting a strong regulatory mindset across the lines of business.
• Provide guidance and interpretation of regulatory requirements.
• Ensure that the control framework meets regulatory expectations and the expectations of senior management and regulators.
• Work to build control structures that support the monitoring of orders and trades to provide robust surveillance.
• Perform deep dives and identify areas that may need additional surveillance controls.
• Assist in the unification of MI and systems to drive best practice across the Controls Team.
• Create documentation to support surveillance activities.
• Help train and mentor junior members of the team as needed.
• Ensuring documentation and systems infrastructure remain appropriate.
• Actively participate and lead surveillance meetings as required.
• Assist with annual parameter reviews and risk assessments as needed.
• Assist with development and delivery of annual training programs as required.

Requirements

• Relevant experience in a similar Surveillance, Control or Compliance role.
• Experience gained from a Regulatory organization would be beneficial.
• Thorough knowledge of financial markets, including FX, fixed income and equity products.
• Strong working knowledge of the applicable regulatory principles and rules, such as market abuse, best execution and information barriers would be advantageous.
• Experience operating surveillance systems, investigating potentially abusive behavior and dealing with trading staff.
• Investigative skills and an analytical mindset are essential.
• Oral and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.

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Our Benefits And Rewards
BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life's journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter.

BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.