Compliance Officer, Trade & Communications Surveillance - FICC (VP) in London

Responsibilities

• Undertake Trade and Communications surveillance of Fixed Income/ Currency markets & potentially other business units using the firm\’s monitoring tools as directed by procedures, management and team protocols.
• Compile and issue relevant regulatory reporting obligations where required
• With the London team and management, proactively manage the associated risks with the extended team TS coverage in Casablanca
• Support the collation and development of Management Information.
• Lead the implementation and enhancement of surveillance approaches / innovations and/or strategic solutions to meet requirements.
• Maintain and monitor a database of remedial actions/recommendations arising from trade surveillance, to ensure timely and satisfactory resolution of issues identified.
• Represent Capital Markets Surveillance in engagements with key stakeholders on surveillance related topics, risk and issues – as appropriate
• Proactively develop new and enhance identification and reporting of CMS metrics, KPI\’s, KRI\’s
• Participate and evolve the review of surveillance controls through engagement with Compliance and BU colleagues
• Co-ordination and delivery of regulatory or internal investigations/ reviews, as appropriate.
• Facilitation and/or team co-ordination of all aspects of the audit lifecycle from the initial presentation of surveillance capability through to recommendation management and reporting.
• Proactive and timely escalation of issues to management
• Lead departmental and team meetings, as required
• Active participation at relevant industry and trade association seminars, feeding back relevant information internally
• Identify, analyse, communicate and implement solutions to surveillance activities as a result of changes to regulation and/or market/company events

Qualifications

• 10+ years relevant experience (Surveillance and/or Trading) in FX/ Fixed Income Markets
• Working knowledge of industry leading surveillance tools is an advantage but not essential
• A \’risk management\’ mind-set
• A flexible approach to \’BAU\’ and \’change\’
• Working knowledge of derivative/ Fixed Income regulations markets and practices
• Analytical approach regarding performing surveillance, supported by accurate record keeping and ability to manage and prioritise multiple review requirements
• Respect for highly sensitive nature of the role
• Teamwork: work collaboratively within immediate and wider global teams to complete existing and expanded surveillance requirements
• Innovation: identification and project skills so to facilitate the implementation of initiatives designed to improve the surveillance offering
• High level documentation and presentation skills
• English essential and other languages desirable

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