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- Tasks: Monitor and analyze trading activities to ensure compliance and detect market abuse.
- Company: Join a leading financial services firm in the heart of London.
- Benefits: Enjoy a competitive salary, hybrid working options, and opportunities for professional growth.
- Why this job: Be part of a critical team ensuring market integrity while collaborating with diverse stakeholders.
- Qualifications: Bachelor's degree in finance or related field; 3+ years in trade surveillance or compliance required.
- Other info: Advanced degrees and certifications are a plus; proficiency in trade surveillance systems preferred.
The predicted salary is between 90000 - 110000 £ per year.
My client is a leading financial services firm with an office in central London. Job Summary: As a Trade Surveillance VP at 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. This role involves the monitoring, analysis, and reporting of trading activities to identify potential market abuse, manipulation, and regulatory violations. Key Responsibilities:
- Trade Surveillance: Conduct real-time and post-trade surveillance of trading activities across the designated desks to detect unusual or suspicious transactions and patterns.
- Monitoring: Assist, develop and help implement new monitoring controls.
- Alert Generation: Utilize surveillance tools and systems to generate alerts on potential market misconduct and regulatory breaches, investigating and escalating as necessary.
- Data Analysis: Analyse trading data, order flow, communications, and other relevant information to assess trading behaviours and identify potential compliance issues.
- Regulatory Compliance: Stay up-to-date with relevant financial regulations and internal policies, ensuring trading activities adhere to all applicable rules and regulations.
- Reporting: Prepare and maintain reports on surveillance findings, trends, and issues, and communicate these findings to the Compliance and Risk Management teams.
- Collaboration: Work closely with compliance officers, traders, and other stakeholders to facilitate investigations and implement corrective actions.
- Documentation: Maintain detailed records of surveillance activities and findings, ensuring compliance with record-keeping requirements.
- Training and Awareness: Contribute to the development and delivery of training programs to enhance the understanding of regulatory compliance among trading desk personnel.
- Process Improvement: Identify opportunities for process improvements and enhancements in surveillance methodologies and tools.
Qualifications:
- Bachelor’s degree in finance, economics, business, or a related field. Advanced degrees and relevant certifications (e.g., CFA, CFE, CAMS) are a plus.
- 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.
- Proficiency in utilizing trade surveillance systems, data analytics tools, and trading platforms. Actimize would be a preference.
- Strong understanding of relevant financial regulations, including but not limited to MiFID II, Dodd-Frank, and other global regulatory frameworks.
- Analytical mindset with the ability to interpret complex data and recognize patterns or irregularities.
- Excellent communication and interpersonal skills, with the ability to interact effectively with various stakeholders.
- Strong organizational skills, attention to detail, and the ability to manage multiple tasks simultaneously.
Salary on offer is £90,000 – £110,000. Hybrid working. Please email me for more information and a full job description. #J-18808-Ljbffr
Trade Surveillance Vice President employer: Barclay Simpson
Contact Detail:
Barclay Simpson Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Trade Surveillance Vice President
✨Tip Number 1
Familiarize yourself with the specific trade surveillance tools and systems mentioned in the job description, especially Actimize. Having hands-on experience or knowledge about these tools can set you apart during discussions.
✨Tip Number 2
Stay updated on the latest financial regulations like MiFID II and Dodd-Frank. Being able to discuss recent changes or trends in these regulations will demonstrate your commitment to compliance and your understanding of the industry.
✨Tip Number 3
Network with professionals in the trade surveillance and compliance fields. Attend industry events or webinars to connect with potential colleagues and learn more about the challenges they face, which can help you tailor your approach.
✨Tip Number 4
Prepare to discuss your analytical skills in detail. Be ready to provide examples of how you've interpreted complex data or identified irregularities in past roles, as this is a key aspect of the Trade Surveillance VP position.
We think you need these skills to ace Trade Surveillance Vice President
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in trade surveillance and compliance. Emphasize your familiarity with financial regulations like MiFID II and Dodd-Frank, as well as any specific experience with the desks mentioned in the job description.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Discuss how your background aligns with the responsibilities of the Trade Surveillance VP position, particularly your analytical skills and experience with surveillance tools.
Highlight Relevant Certifications: If you have any advanced degrees or certifications such as CFA, CFE, or CAMS, make sure to mention them prominently in your application. These qualifications can set you apart from other candidates.
Showcase Communication Skills: Since the role involves collaboration with various stakeholders, provide examples in your application that demonstrate your excellent communication and interpersonal skills. This could include experiences where you successfully worked with teams or presented findings.
How to prepare for a job interview at Barclay Simpson
✨Understand the Regulatory Landscape
Make sure you are well-versed in relevant financial regulations such as MiFID II and Dodd-Frank. Being able to discuss these regulations and their implications on trade surveillance will demonstrate your expertise and readiness for the role.
✨Showcase Your Analytical Skills
Prepare to discuss specific examples where you've analyzed trading data or identified irregularities. Highlight your experience with trade surveillance systems and data analytics tools, especially if you have used Actimize.
✨Emphasize Collaboration Experience
Since this role involves working closely with compliance officers and traders, be ready to share experiences where you've successfully collaborated with different stakeholders. This will show your ability to facilitate investigations and implement corrective actions.
✨Prepare for Scenario-Based Questions
Expect questions that present hypothetical situations related to market abuse or regulatory breaches. Practice articulating your thought process on how you would handle these scenarios, focusing on your monitoring and alert generation strategies.
