Assistant Vice President - eCommerce Surveillance/Compliance
Posted 1 day ago
Posted 1 day ago
Assistant Vice President - eCommerce Surveillance
Description:
Essential Skills:
- Proven experience in Surveillance/Compliance or control functions, with strong understanding of Market Abuse risks (e.g. insider dealing, frontrunning, manipulation).
- Demonstrated ability to analyse large datasets
- Strong stakeholder management; confident communicator across technical and nontechnical audiences.
Desired Skills:
- Familiarity with surveillance tool sets, and case management workflows used across eCommunication/Trade/Control Room
- Exposure to scenario design and effectiveness testing (manual or rule based).
- Advanced Excel and data handling skills; ability to build, manipulate and analyse complex datasets.
You should have experience with:
- Excellent investigative skills and attention to detail.
- Ability to manage competing priorities.
- Ability to perform well as part of the team effort and individually.
Accountabilities:
- Monitoring market activities continuously, including order flows, prices, trading volumes and communications to identify potential irregularities or market misconduct.
- Conducting in-depth investigations to gather evidence and assess the risk of market manipulation, insider trading, or other misconduct.
- Business support in projects related to the firms market surveillance framework.
- Regulatory query and internal/external audit support.
- Provision of accurate and timely reports to regulatory authorities, internal stakeholders, and management regarding market surveillance activities, incidents, and trends.
- Execution of appropriate controls aligned to the control framework and related firm-wide standards.
- Control environment support in relation to data quality, model effectiveness and efficiency.
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