A leading financial services company is looking to hire a Trading Surveillance Manager, a new 2LOD role in the company. This opportunity could suit a Compliance/ Risk Manager with Trading Floor experience, or a Trader looking to move into a 2LOD role.
Key responsibilities include:
- Conduct trade surveillance on derivatives by understanding the trading strategy of the company, and check and challenge any weaknesses in the process.
- Assist in the design and maintain a compliance monitoring and surveillance program designed to ensure adherence with regulatory requirements, trading arrangements and industry best practice.
- Build a proactive approach to compliance based on prevention of regulatory failures by deploying continuous training and education programs to front line employees and management.
- Optimize the effectiveness and the efficiency of the compliance monitoring program by insuring continuous enhancement and evolution of the compliance processes, the compliance tools and surveillance systems.
- Support the business lines in deploying new business strategies and ensure that new initiatives are delivered in compliance with regulatory obligations.
- Report on the status of regulatory compliance and key risks to senior business leaders and compliance management.
- Create, develop, and maintain data models, dashboards, performance and regulatory risk metrics.
Key requirements include:
- Risk/ Compliance/ Trading experience in a capital markets trading business.
- Understanding of controls and regulations in a trading business.