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For Companies At a Glance
- Tasks: Oversee trade surveillance, investigate market abuse, and refine surveillance models.
- Company: Join a leading global investment bank committed to compliance and integrity.
- Benefits: Enjoy hybrid work options and a dynamic corporate culture.
- Why this job: Make a real impact on trading integrity while collaborating with diverse teams.
- Qualifications: Strong background in Trade Surveillance and knowledge of Market Abuse Regulation required.
- Other info: Ideal for those passionate about FICC markets and regulatory compliance.
The predicted salary is between 72000 - 108000 £ per year.
A leading global investment bank is seeking an experienced Vice President – Trade Surveillance professional to join its Compliance Surveillance function. This role is critical in safeguarding the integrity of the firm’s trading activity, with a particular focus on FICC (Fixed Income, Currencies, and Commodities) markets.
The Role
As a senior member of the Surveillance team, you will be responsible for overseeing daily alerts, refining surveillance models, and investigating potential instances of market abuse, including insider dealing, market manipulation, and misuse of information. You will collaborate closely with Compliance Advisory, Front Office, and Technology teams to enhance the surveillance framework and ensure it remains robust and risk-based.
Your work will directly support regulatory obligations and internal conduct standards, particularly in relation to MiFID II and MAR. You’ll also play a key role in strategic initiatives, including the development of new monitoring tools and enhancements to FICC-specific surveillance logic.
Key Responsibilities
- Review and investigate escalated surveillance alerts across FICC asset classes
- Lead the refinement of trade surveillance models and scenarios
- Identify trends, emerging risks, and control weaknesses
- Prepare reporting and MI for senior compliance and business stakeholders
- Collaborate on regulatory enquiries and internal audits as needed
What We’re Looking For
- Strong background in Trade Surveillance or Market Conduct Compliance
- In-depth knowledge of Market Abuse Regulation (MAR)
- Experience with FICC products and trading environments highly desirable
- Familiarity with surveillance platforms (e.g., SMARTS, Actimize) a plus
- Strong analytical and communication skills, with attention to detail
Contact Detail:
Placed Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Trade Surveillance VP (London Area)
✨Tip Number 1
Network with professionals in the trade surveillance and compliance sectors. Attend industry events or webinars focused on FICC markets to meet potential colleagues and learn about the latest trends and challenges in the field.
✨Tip Number 2
Familiarise yourself with the specific surveillance platforms mentioned in the job description, such as SMARTS and Actimize. Consider taking online courses or certifications that can enhance your understanding and demonstrate your commitment to mastering these tools.
✨Tip Number 3
Stay updated on the latest developments in Market Abuse Regulation (MAR) and MiFID II. Subscribe to relevant newsletters or follow regulatory bodies on social media to ensure you are well-informed about any changes that could impact trade surveillance practices.
✨Tip Number 4
Prepare for interviews by practising how to articulate your experience with trade surveillance and market conduct compliance. Be ready to discuss specific examples of how you've identified risks or improved surveillance processes in previous roles.
We think you need these skills to ace Trade Surveillance VP (London Area)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in Trade Surveillance and Market Conduct Compliance. Emphasise your familiarity with FICC products and any relevant surveillance platforms you've worked with.
Craft a Compelling Cover Letter: In your cover letter, explain why you're passionate about the role and how your background aligns with the responsibilities outlined in the job description. Mention specific experiences that demonstrate your analytical skills and attention to detail.
Highlight Relevant Experience: When detailing your work history, focus on roles where you’ve overseen surveillance alerts or refined surveillance models. Use quantifiable achievements to showcase your impact in previous positions.
Showcase Regulatory Knowledge: Demonstrate your understanding of regulatory obligations, particularly MiFID II and MAR. Mention any direct experience you have with compliance frameworks or regulatory enquiries to strengthen your application.
How to prepare for a job interview at Placed
✨Know Your Regulations
Make sure you have a solid understanding of Market Abuse Regulation (MAR) and MiFID II. Be prepared to discuss how these regulations impact trade surveillance and compliance, as this knowledge will demonstrate your expertise in the field.
✨Showcase Your Analytical Skills
Since the role requires strong analytical abilities, be ready to provide examples of how you've identified trends or emerging risks in previous positions. Discuss specific instances where your analysis led to improvements in surveillance models or processes.
✨Familiarise Yourself with Surveillance Tools
If you have experience with surveillance platforms like SMARTS or Actimize, highlight this during your interview. If not, do some research on these tools and be prepared to discuss how they can enhance trade surveillance efforts.
✨Collaborative Mindset
This role involves working closely with various teams, so emphasise your ability to collaborate effectively. Share examples of past experiences where teamwork led to successful outcomes, especially in compliance or regulatory contexts.
