Trade Surveillance VP

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

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Created on 31/05/2025 by JR United Kingdom

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