Purpose of the Role:

To monitor and analyse market activity for potential signs of abuse or manipulation. This role ensures adherence to regulatory requirements and internal policies, mitigating market misconduct through proactive surveillance and investigation.

Key Accountabilities:

- Market Monitoring: Continuously monitor market activities, including order flows, prices, trading volumes, and communications to identify potential irregularities or misconduct.

- Investigations: Conduct in-depth investigations to gather evidence and assess risks related to market manipulation, insider trading, or other prohibited activities.

- Project Support: Provide business support for projects related to the enhancement and maintenance of the firm's market surveillance framework.

- Audit & Regulatory Support: Assist with regulatory queries and support internal/external audit processes.

- Reporting: Deliver accurate and timely reports to regulatory authorities, internal stakeholders, and management regarding surveillance activities, incidents, and trends.

- Control Execution: Implement and maintain appropriate controls aligned with the firm's control framework and standards.

- Control Environment: Support the control environment concerning data quality, model effectiveness, and operational efficiency.

Senior Leadership Expectations (Vice President Level):

- Strategy & Change: Contribute to strategy development, drive requirements, and recommend enhancements. Plan resources, budgets, and policies; manage processes and deliver continuous improvements.

- People Management: Define roles, responsibilities, and plan for future departmental needs. Coach employees on performance and contribute to compensation decisions. Demonstrate leadership behaviours to create an environment for colleagues to thrive.

- Individual Contributor: Act as a subject matter expert, guiding technical direction and leading collaborative, multi-year assignments. Train, guide, and coach less experienced specialists, influencing long-term profits and strategic decisions.

- Stakeholder Management: Advise key stakeholders, including functional leadership and senior management, on cross-functional alignment and impact.

- Risk Management: Manage and mitigate risks through assessment, supporting the control and governance agenda. Demonstrate accountability for strengthening controls.

- Business Acumen: Demonstrate a comprehensive understanding of organisational functions to contribute to business goals.

- Collaboration: Partner with business-aligned support areas to stay updated on business activity and strategies.

- Analytical Thinking: Create solutions using sophisticated analytical thought, define problems, and develop innovative solutions through in-depth analysis.

- Research & Innovation: Adopt and include outcomes of extensive research in problem-solving processes.

- Relationship Building: Build and maintain trusting relationships with internal and external stakeholders, using influencing and negotiating skills to achieve objectives.

Candidate Experience & Skills:

- 10+ years of total experience (Minimum 5 years in trade surveillance is mandatory).

- Fixed Income Products experience is mandatory (Minimum 4 years in Fixed Income products is mandatory).

- A proven track record in implementing and maintaining a Markets Surveillance program, including oversight of the market abuse risk assessment process.

- Strong understanding of Market Surveillance risks and typologies, specifically within the Fixed Income space, and how they manifest in data and transaction flows.

- Deep understanding of how analytics can supplement and enhance global surveillance strategies.

- Detailed knowledge of applicable regional and global laws and regulations governing surveillance activities (e.g., MiFID II, MAR).

- Excellent understanding of Compliance sub-functions, how they interact with the business, and how Surveillance collaborates to meet functional objectives.

- Strong understanding of Global Markets, including asset classes and trading platforms/venues.

- Expertise in Fixed Income and related derivatives.