AWM Trade Surveillance – Vice President
Location: Greater London
Job Type: Full time
The EMEA Compliance Surveillance team (“Surveillance”) monitors and analyses the sales, trading and banking activities conducted by the Corporate Investment Bank and Asset/Wealth Management business as well as undertaking the surveillance of electronic communications (e.g. e-mail, Bloomberg etc.) and telephone communications. Surveillance utilises and develops electronic tools and integrative techniques to detect potential and/or actual violations of firm policy and legal/regulatory requirements. Surveillance works in close partnership with various Compliance teams and groups across the Firm.
Responsibilities include but are not limited to:
- Daily surveillance alert reviews;
- Involvement in various projects, including the development and testing of new surveillance models;
- Engagement with business and business aligned compliance teams;
- Training and development of other team members.
The role entails to conduct trade surveillance through the review of risk specific exceptions reports (alerts) on products across all asset classes. Alerts will have to be escalated as required, when potential market misconduct and other manipulative behaviors are identified.
Skills, attributes and experience required:
- Strong desire to work in a Surveillance team with good investigative instincts and background;
- An understanding of markets and trading;
- Experience in the development and implementation of system enhancements including the documentation of business requirements;
- Experience in review of alert scenario effectiveness and threshold calibration;
- Ability to effectively partner with technology and experience in Agile software development;
- A desire to learn and the ability to clearly communicate issues with Compliance and business colleagues;
- Good working knowledge of the applicable regulatory principles and rules;
- The candidate must possess: (i.) initiative and judgement; (ii.) the ability to prioritise conflicting demands, organise one's agenda and work under pressure; (iii.) the relationship management skills to deal with management and build partnerships with other departments; (iv.) the ability to work in teams and the readiness to share knowledge; (v.) good oral and written communication skills; and (vi.) intermediate to advanced Microsoft Excel skills.