Head of Surveillance
2 months ago
About the Role:
The role holder plays a critical role within the Ethics and Compliance function by ensuring the frameworks and operating model for the function are managed, maintained, and adhered to. Additionally, the individual will be required to join leadership-level compliance meetings and ensure transparency is provided on all surveillance activities.
The individual in this role will work across the Ethics and Compliance team and support the Head of Compliance with various matters. The key areas of responsibility will include:
People & Talent
- Provide leadership, management, and coaching to direct and matrix reports and ensure that there is adequate support for people, processes, tools, frameworks, and systems in the Surveillance team to ensure they are highly engaged and performing to their potential.
- Stimulate an environment where forward planning, prioritization, deadline management, and streamlined workflows and collaborative, inclusive yet effective, and efficient work practices are the norm to support sustainable business growth and address compliance risks.
- Provide objectives and a clear strategic view to the team, highlighting the importance of accurate monitoring.
Risk Management
- Be accountable for the identification and escalation of potential risks and issues to senior management through appropriate governance channels.
- Analyse significant risk events to ensure that all risks are identified and reported, and make risk mitigation recommendations.
- Independently conduct data-driven surveillance effectiveness and optimization reviews to identify data issues and coverage gaps.
As an independent second-line risk control function, you will execute the relevant aspects of the Compliance framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scale, and complexity of the energy business.
Stakeholder Management
You will perform overall leadership for direct reports of the Surveillance team and work closely with developers and stakeholders to design and implement new monitoring scenarios and improve existing surveillance. You will:
- Provide subject matter expert advice around market structure, critical data elements, and differentiate methodologies based on a deep understanding of physical and financial energy markets, products, and systems.
- Prepare management information reports and present findings and recommendations to senior management.
- Coordinate data gathering and analysis to support responses to regulatory inquiries and internal investigations.
- Work closely with global colleagues and stakeholders (including staff in LRECS, Operations, and Technology) to promote the ongoing development and effectiveness of the surveillance program.
Strategic
- Ensure agility in Strategic Change Management.
- Design and maintain the surveillance strategy aligned with the business strategy and future growth plans.
- Analyse relevant market abuse laws and regulations and correlate this to products and business models.
- Undertake in-depth calibration reviews of detection scenarios and parameter settings.
Operational
- Manage and protect business-as-usual (BAU) capability during change programs, as well as during the execution and delivery of remediation initiatives through project phases and into BAU, for manual monitoring processes.
- Be accountable for managing and maintaining an effective surveillance framework/operating model in line with MAR, REMIT, and EMIR obligations.
- Accountable for all aspects of trade and transaction, eComms, and voice surveillance across the energy business.
About You:
To be successful in this role, you need to possess strong leadership skills and the ability to motivate and build a successful surveillance team. The ideal candidate is a highly experienced senior leader with extensive experience in leading and managing a surveillance function, ideally within the commodities industry, and with a strong grasp of key regulations, including MAR, REMIT, EMIR, MiFID, and others. We are looking for someone who has experience within:
- Defining and maintaining a scalable and adaptable surveillance operating model within a growing business (ideally commodity trading).
- Managing relationships with executive-level stakeholders and supporting the Director of Ethics & Compliance with board-level reporting.
- Overseeing and sponsoring strategic surveillance change and/or remedial projects.
-
Head of Trade Surveillance
2 months ago
London, UK, United Kingdom MERJE Ltd Full timeThe Head of Surveillance role is critical role ensuring adequate and appropriate framework and controls are in place to mitigate risks across the business and support them through their growth plans. This is a key leadership role requiring managing teams in multiple locations who are responsible for identifying potential trading anomalies, indications of...
-
Trade Surveillance Officer
2 weeks ago
London,, UK, United Kingdom MW Recruitment Limited Full timeOur Client is a global leader wthin Transportation Trading with offices across the globe and a strong international presence.Role Overview:An exciting opportunity has arisen for an enthusiastic and self-motivated individual to join the Compliance team as a Communications and Trade Surveillance Officer. This role is ideal for someone looking to broaden their...
-
Trade Monitoring and Surveillance Analyst
4 weeks ago
London,, UK, United Kingdom William Rose Associates Full timeWilliam Rose Associates are actively partnering with a Trading firm based in London which is looking for a Trade Monitoring and Surveillance Analyst to join the business. ESSENTIAL SKILLS | Trade Monitoring and Surveillance Analyst1+ years experience in Trade Monitoring/Surveillance, in a brokerage or banking environment. An understanding of Market Abuse...
-
Senior Trade Surveillance Analyst
2 weeks ago
London,, UK, United Kingdom Britannia Global Markets Limited Full timeSenior Trade Surveillance Analyst We have an exciting newly created role as Senior Trade Surveillance Analyst to join our expanding Compliance Function. This is a permanent role based from our London City office.Key Responsibilities:Timely and accurate investigation and disposition of market abuse and communications surveillance alerts and...
-
Surveillance IT PM/Technical BA
3 months ago
London, UK, United Kingdom twentyAI Full timeResponsibilities Work in partnership with Middle Office IT and stakeholders in compliance, Technology & front office to develop road maps Manage and communicate the IT strategy & vision for Trade Surveillance & Communications Oversee multiple projects and deliverables within the Trade Surveillance space Work with product owners & IT delivery teams...
-
Internal Audit Manager, Core Compliance
2 months ago
London, UK, United Kingdom Gresham Hunt Full timeMy client, a global banking business, is looking for an Internal Auditor to join the Core Compliance team on a 12 month maternity cover basis. Internal Audit experience within Banking Compliance, specifically Conflicts of Interest and Trade Surveillance, is an absolute prerequisite, responsibilities will include but not be limited to the following: Assist...
-
Regulatory Change Compliance Manager
4 weeks ago
London,, UK, United Kingdom Ingenii Search Full timeAn excellent opportunity has arisen at a leading Investment bank in the city for Regulatory Change Compliance Manager to work across all entities of the group and all 3 lines of business in relation to any new regulatory change initiatives.Within this role you will contribute to the reviews and analysis undertaken in respect of Regulatory Change. You will...
-
Head of Data Architecture
2 weeks ago
London,, UK, United Kingdom Cognitive Group | Part of the Focus Cloud Group Full timeHEAD OF DATA ARCHITECTURE 6 MONTH INITIAL CONTRACT - Likely to extend OUTSIDE IR35 FINANCIAL SERVICES We are working with a financial services organisation who are in need of an interim Head of Data Architecture to join the team. This role will be the owner of data architecture for the entire group, delivering new designs and changes to existing business...
-
Head of Legal
3 months ago
London,, UK, United Kingdom Insignia Group of Companies Full timeThe Head of Legal for Insignia will be responsible for overseeing all legal matters pertaining to Insignia's operations globally. This role requires a strategic thinker with extensive legal expertise, particularly in the finance / luxury lifestyle industry, who can navigate complex legal landscapes and provide sound legal advice to support Insignia’s...
-
Head of Security
3 months ago
London, UK, UK, United Kingdom Insignia Group of Companies Full timeInsignia are currently seeking a Head of Security, this individual will be responsible for the overall company security responsibilities, obligations, and duties, such as maintenance responsibilities, performance responsibilities, strategic development responsibilities, and direction responsibilities. You will be required to create protocols and policies...
-
Head of Human Resources
3 months ago
London, UK, UK, United Kingdom London Borough of Hillingdon Full timeAre you looking to make a difference?About usAt Hillingdon we’re proud of our commitment of ‘Putting our residents first’, ensuring they’re at the heart of everything we do! We want to attract talented individuals like yourself who share our aspirations for the borough and can support us to deliver exceptional services for Hillingdon.With an...
-
Head Chef
4 weeks ago
London , London, UK, United Kingdom Company of Cooks Careers Full time*Head Chef - Staff & Artist Restaurant (mobilization new site) - London* Head Chef - Staff & Artist Restaurant (mobilization new site) 36,000 per annum London Craft, Creativity and Community – we are Company of Cooks! These are our values, and they go far beyond corporate waffle. In fact, they set the tone for everything we do. Company of Cooks have been...
-
Head of Customer Marketing
1 month ago
London, UK, UK, United Kingdom The School of Life Full timeReports to: Brand Director Responsible for: Customer Campaigns Manager, Partnerships Campaigns ManagerSalary: £65-70k dependant on experienceLocation: London WC1 (hybrid)We are a passionate group of people on a mission to bring about healing, growth, calm and self-understanding. We derive our ideas from psychology, psychotherapy, philosophy, art and...
-
Head of Customer Marketing
3 weeks ago
London, UK, UK, United Kingdom The School of Life Full timeReports to: Brand Director Responsible for: Customer Marketing Manager, Partnerships Marketing ManagerSalary: £65-70k dependant on experienceLocation: London WC1 (hybrid)We are a passionate group of people on a mission to bring about healing, growth, calm and self-understanding. We derive our ideas from psychology, psychotherapy, philosophy, art and...
-
Compliance Manager
1 week ago
London, UK, United Kingdom Quilter Full timeFixed Term Contract Duration - 5 Months What the Hiring Manager says At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve. Our business...
-
Senior Compliance Manager
4 days ago
London, UK, United Kingdom Quilter Full timeWhat the Hiring Manager Says At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve. Our business is transforming, continually modernising...
-
Head of Sales
1 month ago
London,, UK, United Kingdom Insignia Group of Companies Full timeThis is a key role of high importance in terms of representing and promoting Insignia, Group of Companies brand of exclusive premium financial services and luxury lifestyle management products for UHNW clients and businesses. The role’s major goals will include the following challenges: building and developing a sales department strategy ensuring constant...
-
Facilities and Maintenance Engineer
2 months ago
London,, UK, United Kingdom Apollo Tyres Ltd Full timeJob Title: Facilities and Maintenance EngineerLevel: Mid-levelReports to: Head of ProjectsMain Purpose of Job:• To be responsible for all aspects of the properties of Apollo Tyres MD and to ensure the cleanliness, safety and security of the premises and grounds at all times.• To contribute to Apollo Tyres (UK) decisions regarding premises management and...
-
Chief Technology Officer
2 weeks ago
London,, UK, United Kingdom Top of Minds Full timeChief Technology Officer at SliideWhy join as CTOThis is an opportunity to contribute to developing the capital value of a businessthat is targeting an exit in the coming years.This role presents exciting leadership and technical challenges centred aroundoptimisation, personalisation and testing of a mature product suite as well asbuilding a world-class tech...
-
London,, UK, United Kingdom Sumitomo Mitsui Banking Corporation – SMBC Group Full timeRegulatory and Compliance Technology is part of EMEA Cross - Product Platforms function and is critical to enablement of delivery and support of SMBC EMEA Legal Entities and Branches' Regulatory and Compliance obligations. This function drives Technology responses to regulatory and business driven initiatives applying rigorous framework covering change...