The EMEA Trade Surveillance team is responsible for designing, implementing and operating a range of automated surveillance controls to detect and report market abuse and other misconduct risks across the Firm's institutional securities (ISG) and investment management businesses.

The team works closely with global colleagues and stakeholders across the Firm (including staff in Legal and Compliance, Business Unit Risk Management, Operations and Technology) to promote the ongoing development and effectiveness of the surveillance program

Primary Responsibilities (Day Job)

The candidate will have several areas of responsibility including, but not limited to, the following:

- Overseeing or conducting the daily surveillance of equities, derivatives, fixed income and commodities trading to monitor for compliance with regulatory and exchange requirements.

- Liaising with Compliance colleagues, Operations and front office staff to investigate surveillance alerts as necessary.

- Resolving escalated alerts appropriately and promptly, documenting results clearly and escalating possible exceptions as appropriate.

- Monitoring the efficiency and effectiveness of reports.

- Conducting ad hoc trading reviews to support Legal and Compliance colleagues, including detailed incident reviews as necessary, reporting STORs to the UK FCA or other competent authorities as required.

- Assisting with the design and deployment of new controls, in addition to the enhancement and calibration of existing controls.

- Assisting in the delivery of surveillance related projects or initiatives.

- Maintaining effective and constructive working relationships with staff located in other regions across a range of levels, building relationships with internal clients and collaborating with colleagues across the EMEA region and in global surveillance teams to deliver the annual surveillance program.

- Working with key stakeholders (e.g. Sales & Trading Coverage, Business Unit Risk Management, Technology, third party vendors) to identify, design and implement enhancements to the surveillance program.

- Assisting in the production and enhancement of Management Information (MI) reporting.

- Providing expert advice to the Regulatory Enquiries and business-line Compliance teams on surveillance matters, including trading behaviour, exchange functionality, market dynamics, suspicious behaviours, etc.

Requirements

Experience

- 10+ years of relevant working experience in the financial services industry in Compliance or internal audit or with a securities exchange or securities regulator.

- Preference will be given to candidates with relevant experience in Trade Surveillance.

Knowledge

- Excellent knowledge of rules and regulations.

- Strong knowledge of products and market infrastructure.

Skills and Qualities

- Excellent communication skills: able to communicate complex scenarios and concepts clearly, concisely and effectively, both verbally and in writing, to stakeholders across all levels.

- Strong analytical skills; experience of handling, analysing and presenting large data sets to identify exceptions or anomalies.

- Proven experience of analysing control logic or thresholds to assess effectiveness and identify possible enhancements.

- Bright, organised and well-developed execution skills; capable of managing competing deadlines.

- Confidence to use own initiative and apply judgment in an in-house context.

- Proven ability to develop rapport and promote effective 2-way communication with colleagues in global offices, fostering trust and an environment which supports development and constructive feedback.

- Adaptable and willingness to assist and support colleagues, promoting the overall success of the EMEA surveillance program.

- Experience using third party trade surveillance tools (e.g. Nasdaq Trade Surveillance, Actimize) and market data vendors (e.g. Bloomberg, Reuters Eikon).

- Use of Tableau/SQL to query large data sets.

- Post Graduate Degree/ MBA in Finance.