Senior Manager - Trade Surveillance - Banking

Key Responsibilities:

- Provide oversight and guidance to members of the Investment Compliance Surveillance and Monitoring teams.

- Aid in the development and maintenance of the annual monitoring plan by reviewing global regulatory risk assessments and engaging with key stakeholders for review prioritisation.

- Conduct reviews of research-related products and deliverables to ensure compliance with internal guidelines and external regulations.

- Lead the development of dashboards, management reports, and papers for governance committees.

- Lead the implementation of the delivery roadmap for new surveillance systems and establish/expand existing market abuse controls.

- Handle investigations and escalations related to reviews performed by compliance team members on market abuse monitoring tools and employee communications on platforms such as email, Bloomberg, Zoom, Voice, or Teams. Assist in creation/update of policies & procedures, keeping abreast of regulatory changes and their impact.

- Ensure market abuse and communications monitoring tools are appropriately calibrated.

- Maintain day-to-day relationships with vendors of compliance monitoring tools.

- Ensure governance processes are implemented and followed for all supported activities, including SLAs, SOWs, timeliness, daily checklists, and monthly metrics reporting.

- Build and retain a high-performing team, including acquiring the right talent, providing training, career development, performance management, and succession planning.