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Trade Surveillance - Vice President

cer Financial Limited
Closing date
14 Jun 2021

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Job Details

Trade Surveillance - Vice President



£500 per day

cer Financial are working alongside a mid - tier bank who are looking for a Trade Surveillance, Vice President, to join their team on a temporary basis.

The Trade Surveillance Vice President will be responsible for completing allocated surveillance tasks defined under the firm's Surveillance Monitoring Plan, (SMP). They will have the responsibility of the Surveillance team to complete effectively to mitigate conduct and compliance risk. The Trade Surveillance Vice President is expected to contribute actively towards the completion; improvement and development of the SMP through their role.

The Responsibilities of a Trade Surveillance - Vice President will include:

Surveillance Development

* Support the development of the trade surveillance framework for the regulated entities within the Group.

* Assist in the implementation of new policies and procedures in response to, or in anticipation of, relevant rule changes and new legislation.

* Work closely with the relevant stakeholders throughout the firm to ensure that appropriate enhancements are made to the firm's surveillance systems, reports, and processes as and when rules and regulations require such changes.

* Ensure ongoing development of surveillance reports is consistent with regulatory enhancements.

* Stay abreast of developments in the regulatory rules and good practice and ensure the trade surveillance framework remains fit for purpose.

Surveillance Management

* Execute the surveillance processes and SMP (i.e., review, investigation, and timely closure & documentation of surveillance alerts), primarily utilising BTCA, across asset classes traded by the Group; and ensure deliverables are conducted on time.

* Assist with maintaining and updating the trade surveillance programme to maintain its effectiveness.

* Assist in developing a Compliance Risk Assessment ('CRA') methodology which will result in a risk adjusted impactful SMP making the most effective use of existing resources.

* Completing aspects of the CRA, Market Abuse Risk Assessment and other Departmental Risk Assessments or gap analysis as appropriate.

* Assist and / or co-ordinate compliance surveillance related projects.

* Oversee the preparation and submission of suspicious trading activity reports to competent local authorities, as appropriate.

* Identify enhancements to existing controls, test the integrity of system controls and surveillance reports by participating in testing programs and validating test results.

* Monitor European and UK regulatory developments and identify new regulations that will impact the organisation.

The Successful Trade Surveillance - Vice President will have:

* Experience of trade surveillance and awareness of associated industry practices and disciplines

* Compliance background (within a securities house, broker dealer/wholesale banking environment)

* Experience in the first line of defence is desirable.

* Experience of Bloomberg surveillance tools is preferable.

* Regulatory awareness and understanding of the emerging regulatory landscape including MiFID II and MAR
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