Our client is a leading securities firm based in the City. They are looking to hire a Trade Surveillance Manager for their team, it is essential that the candidate has people management experience.
THE RESPONSIBILITIES:
Managing the Surveillance function and working with the Trade Surveillance analysts to conduct trade surveillance and related front office monitoring activities as part of the firm’s compliance monitoring procedures;
Conduct investigations into potential abusive and/or non-compliant behaviours, documenting findings, and preparing regulatory reports in a timely manner as necessary;
Managing the ongoing development of the surveillance environment including assessment, development and fine tuning of surveillance tools and the alerting suite;
In conjunction with the Compliance senior management assist in production of and subsequent delivery of the Market Abuse Strategy, including the firm’s market abuse risk assessment and employee education programme;
Provide advice and assistance to front office staff in resolving compliance and regulatory issues arising from sales and trading activities;
Liaise and communicate with all internal stakeholders to ensure a consistent and effective risk-based approach, compliant with professional standards, is deployed across the trading floor;
Engage with external bodies to investigate and resolve regulatory and/or exchange enquiries in a timely and professional manner as required;
As requested, present to Management on surveillance activities and developments;
Resolve Surveillance issues to the satisfaction of both the Company and clients in compliance with regulatory obligations;
Developing the surveillance framework to ensure it remains fit for purpose in line with firm, market, and regulatory developments.
Perform ad-hoc Compliance duties as required.
EXPERIENCE REQUIRED:
5+ years relevant experience in trade surveillance/market abuse financial Compliance related role
Proficiency in trade surveillance systems and software
Ability to demonstrate an understanding of the regulatory framework relevant to the role, whilst practising effective risk management
Have proven experience as a well-rounded and highly regarded compliance (or equivalent) professional
Be a proven and engaged people manager with demonstrable experience of, and genuine interest in, leading, developing and enhancing teams of high potential professionals
For further information, please contact Natalie Eshelby
