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- Tasks: Lead quality assurance for trade surveillance, ensuring compliance and mitigating regulatory risks.
- Company: Join BNY, a global leader in financial services with a culture of innovation.
- Benefits: Competitive pay, flexible resources, generous leave, and a focus on wellbeing.
- Other info: Dynamic work environment with opportunities for personal and professional growth.
- Why this job: Make a real impact in finance while working with cutting-edge technology and talented teams.
- Qualifications: Experience in trade surveillance, strong analytical skills, and a Bachelor's degree required.
The predicted salary is between 43200 - 72000 £ per year.
At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.
Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what #LifeAtBNY is all about. Join us and be part of something extraordinary.
We’re seeking a future team member for the role of Vice President – Quality Assurance Trade Surveillance to join our Compliance team. This role is located in Manchester, UK.
The Vice President – QA Trade Surveillance has key responsibility in helping the firm manage its regulatory risk through quality assurance of trade surveillance across the various businesses and countries in which BNY conducts business. the right candidate will have familiarity with trade surveillance requirements as outlined by the U.S. Securities and Exchange Commission, FINRA, the Financial Conduct Authority and APAC regulators. Experience with multiple trade surveillance platforms and previous experience mitigating trade surveillance alerts is required.
In this role, you’ll make an impact in the following ways:
Improve the firms approach to Trade Surveillance by challenging alert mitigation.
Review mitigated transaction alerts across a range of financial asset classes including FX, FI, Securities Lending & Repo, Equities and associated derivatives.
Challenge alert mitigation where the standard of closure is not sufficient.
Escalate findings in a controlled and organised fashion
Ensure that the standard of trade surveillance alert mitigation is robust and consistent across the BNY enterprise.
Prepare Management Information for the QA function to clearly identify inconsistencies in quality of alert mitigation.
Be prepared to assist with other pillars of surveillance QA (e-communications, voice communications, Personal Securities Trading).
To be successful in this role, we’re seeking the following:
Preferred experience: extensive industry experience with time working in Trade Surveillance, ideally with a Trading background.
Extensive financial product & markets knowledge across multiple asset class.
Strong knowledge of the financial services regulatory environment.
Investigative skills and an analytical mindset are essential.
Excellent spoken and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.
Advanced MS Office skills
Focused attitude to work with the ability to constantly meet deadlines while ensuring attention to detail, and high level of accuracy.
Good interpersonal and communication, and negotiation skills.
Ability to work effectively in a fast-paced environment, with the ability to prioritize and balance competing, time sensitive demands.
Bachelor’s Degree required (or equivalent)
At BNY, our culture speaks for itself, check out the latest BNY news at:
BNY Newsroom
BNY LinkedIn
Here’s a few of our recent awards:
America’s Most Innovative Companies, Fortune, 2025
World’s Most Admired Companies, Fortune 2025
“Most Just Companies”, Just Capital and CNBC, 2025
Our Benefits and Rewards:
BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life’s journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter.
BNY is an Equal Employment Opportunity/Affirmative Action Employer – Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.
Locations
Vice President – Quality Assurance Trade Surveillance employer: BNY
Contact Detail:
BNY Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Vice President – Quality Assurance Trade Surveillance
✨Tip Number 1
Network like a pro! Reach out to people in the industry, especially those at BNY. A friendly chat can open doors and give you insights that a job description just can't.
✨Tip Number 2
Prepare for interviews by diving deep into BNY's culture and values. Show us how your experience aligns with our mission and how you can contribute to our innovative environment.
✨Tip Number 3
Practice your responses to common interview questions, but keep it natural. We want to see your personality shine through, so don’t be afraid to let your passion for quality assurance and trade surveillance show!
✨Tip Number 4
Apply directly through our website! It’s the best way to ensure your application gets noticed. Plus, it shows us you're genuinely interested in being part of the BNY family.
We think you need these skills to ace Vice President – Quality Assurance Trade Surveillance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the skills and experiences that match the job description. Highlight your familiarity with trade surveillance requirements and any relevant platforms you've worked with. We want to see how you can bring value to our team!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about the role and how your background aligns with BNY's mission. Don’t forget to mention your investigative skills and analytical mindset – they’re key for this position!
Showcase Your Communication Skills: Since excellent communication is crucial for this role, make sure your application is clear and concise. Use proper grammar and structure to demonstrate your written communication skills. We appreciate attention to detail, so let that shine through!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way to ensure your application gets into the right hands. Plus, you’ll find all the info you need about the role and our company culture there!
How to prepare for a job interview at BNY
✨Know Your Regulations
Familiarise yourself with the trade surveillance requirements set by the U.S. Securities and Exchange Commission, FINRA, and the Financial Conduct Authority. Being able to discuss these regulations confidently will show that you understand the compliance landscape and can navigate it effectively.
✨Showcase Your Analytical Skills
Prepare examples of how you've used your investigative skills in previous roles. Be ready to discuss specific instances where you challenged alert mitigations or improved processes. This will demonstrate your analytical mindset and ability to enhance quality assurance.
✨Communicate Clearly
Practice articulating complex ideas simply and clearly. Since excellent communication skills are essential for this role, consider doing mock interviews with a friend or mentor to refine your spoken and written communication abilities.
✨Demonstrate Your Industry Knowledge
Brush up on your knowledge of financial products and markets across various asset classes. Be prepared to discuss recent trends or challenges in trade surveillance, as this will show your passion for the industry and your readiness to contribute from day one.