Trade Surveillance Compliance (AVP)
The role will focus on the Control Room and Surveillance program for the Bank in accordance with relevant regulatory and legal requirements, firm policies and industry best practices. The Surveillance Team Lead will work closely with the respective teams in 2 other European locations that cover Surveillance and Control Room activities.
- Day to day operational management of Surveillance and Control Room activities which includes defining development plans and facilitating training where required
- Undertake Quality Assurance testing and timely analysis of the Operational Analyst's alert closures
- Keep up to date with changes to regional Rules and Regulations that directly impact Surveillance obligations and escalate perceived impacts for consideration
- Track progress of projects and manage against time lines as defined by regional and global surveillance management
- Provide support for other Compliance functions in related projects and tasks for the Compliance department as directed
Stakeholder Management and Leadership
- Develop, enhance and maintain the function in accordance with business expansion and technical developments
- Represent Senior Management and at internal and external committees as required
- Following-up potential internal and external breaches and enforce compliance with the relevant regulations and internal policies
- Facilitate and manage ongoing relationships with Product Compliance Stakeholders and Compliance Technology and Change Management contacts
- Training and mentorship of the Surveillance and Control Room team
Decision-making and Problem Solving
- Ensure significant surveillance issues are identified, fully investigated and promptly escalated where necessary
- Be empowered and able to seek out relevant internal expertise as part of the analysis process
- Lead the team to learn and adopt new technologies as Surveillance build out greater forensic and holistic capabilities
- Be operationally responsible for the day to day running of the Surveillance team (in conjunction with the Regional and Global Surveillance Management) and being confident to lead independently in case of management absence
Risk and Control Objective
Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Policies and Policy Standards.
Essential Skills/Basic Qualifications:
- Compliance or Surveillance experience in an Investment Bank or Regulator
- Good communication skills, ability to interact and work with key stakeholders
- Ability to quickly understand and interchange with a variety of other product and technical areas
- Strong understanding of European regulations
Morgan McKinley is acting as an Employment Agency and references to pay rates are indicative.
BY APPLYING FOR THIS ROLE YOU ARE AGREEING TO OUR TERMS OF SERVICE WHICH TOGETHER WITH OUR PRIVACY STATEMENT GOVERN YOUR USE OF MORGAN MCKINLEY SERVICES.