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- Tasks: Lead trade surveillance efforts and manage regulatory risks across global businesses.
- Company: Join BNY, a top global financial services innovator with a commitment to inclusivity.
- Benefits: Enjoy competitive pay, flexible work options, and generous leave policies.
- Why this job: Be part of a culture that values growth, innovation, and social impact.
- Qualifications: 7-10 years in finance, with 3-4 years in Trade Surveillance; strong communication skills required.
- Other info: Hybrid role based in Manchester; recognised for diversity and sustainability.
The predicted salary is between 43200 - 72000 £ per year.
At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world’s financial system, we touch nearly 20% of the world’s investible assets. Every day, our 50,000+ employees bring their perspectives to create solutions with our clients that benefit businesses, communities, and people worldwide. We are recognized as a top innovator and an inclusive workplace. Through our unique ideas and talents, we help make money work for the world. This is what #LifeAtBNY is all about.
Location: Manchester – Hybrid
The Vice President - Trade Surveillance (Model Management) plays a key role in managing regulatory risk by overseeing trade surveillance across various businesses and countries. The ideal candidate will have familiarity with surveillance requirements from the U.S. Securities and Exchange Commission, FINRA, the Financial Conduct Authority, and APAC regulators. Experience with trade surveillance vendors and implementing global trade surveillance systems is preferred.
Key Responsibilities:
- Implement the firm’s trade surveillance approach using the latest technology solutions.
- Review transaction alert parameters to detect potential market abuses.
- Document alert parameter reviews and model performance testing clearly.
- Lead thematic surveillance programs, coordinating globally as needed.
- Collaborate with Business Compliance and 1LOD control functions for proper reporting of surveillance issues internally and to regulators.
- Escalate findings in a controlled manner.
- Approach surveillance holistically, considering order and quote flows across lines of business.
- Record issues and assist in producing Management Information.
Qualifications:
- 7-10 years of industry experience, with at least 3-4 years in Trade Surveillance, preferably with a trading background.
- Strong knowledge of financial regulatory environment.
- Excellent communication skills in English.
- Advanced MS Office skills.
- Data science and analytical skills for identifying and presenting relevant information to senior stakeholders.
- Attention to detail, accuracy, and ability to meet deadlines.
- Interpersonal, negotiation, and communication skills.
- Ability to prioritize in a fast-paced environment.
- Bachelor’s Degree required.
Benefits and Rewards:
BNY offers competitive compensation, benefits, and wellbeing programs, including flexible resources, paid leaves, and volunteer time. We are an Equal Employment Opportunity/Affirmative Action Employer supporting underrepresented groups.
Vice President, Compliance & Control II employer: BNY Mellon
Contact Detail:
BNY Mellon Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Vice President, Compliance & Control II
✨Tip Number 1
Familiarise yourself with the latest regulatory requirements from the U.S. Securities and Exchange Commission, FINRA, and the Financial Conduct Authority. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the compliance field.
✨Tip Number 2
Network with professionals in the trade surveillance space, especially those who have experience with global trade surveillance systems. Engaging with industry experts can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Showcase your analytical skills by preparing examples of how you've used data science in previous roles to identify and present relevant information. Being able to discuss specific instances where your analysis led to improved compliance will set you apart.
✨Tip Number 4
Prepare for potential interview questions by thinking about how you would approach thematic surveillance programs. Be ready to discuss your strategies for coordinating globally and how you would handle escalations in a controlled manner.
We think you need these skills to ace Vice President, Compliance & Control II
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly understand the responsibilities and qualifications for the Vice President, Compliance & Control II position. Familiarise yourself with trade surveillance requirements and the regulatory environment mentioned in the job description.
Tailor Your CV: Customise your CV to highlight relevant experience in trade surveillance and compliance. Emphasise your industry experience, particularly any roles that involved regulatory risk management or collaboration with compliance functions.
Craft a Compelling Cover Letter: Write a cover letter that showcases your understanding of the role and your passion for compliance and control. Mention specific experiences that align with the key responsibilities outlined in the job description, such as leading thematic surveillance programs or collaborating with business compliance.
Highlight Key Skills: In your application, make sure to highlight essential skills such as data analysis, communication, and attention to detail. Provide examples of how you've successfully used these skills in previous roles, especially in fast-paced environments.
How to prepare for a job interview at BNY Mellon
✨Understand Regulatory Frameworks
Familiarise yourself with the surveillance requirements from key regulatory bodies like the U.S. Securities and Exchange Commission and the Financial Conduct Authority. Being able to discuss these frameworks confidently will demonstrate your expertise in compliance.
✨Showcase Your Analytical Skills
Prepare to discuss your experience with data science and analytical skills. Be ready to provide examples of how you've identified and presented relevant information to senior stakeholders, as this is crucial for the role.
✨Highlight Your Communication Skills
Excellent communication is key in this position. Practice articulating complex ideas clearly and concisely, especially when discussing trade surveillance issues and collaborating with various teams.
✨Demonstrate Attention to Detail
Be prepared to discuss specific instances where your attention to detail has made a difference in your work. This could include examples of how you’ve successfully managed deadlines or improved processes in previous roles.
