Head of Trade Surveillance
Principal Responsibilities:
The role holder will have distinct responsibilities predominantly across the following areas –
- Compliance Monitoring: To conduct and manage the team in daily, weekly monthly monitoring of front office trading activities with the aim of meeting the business regulatory obligations with respect to Market Abuse, Best Execution and Conflicts Monitoring.
- Surveillance Monitoring: To conduct and manage the team in daily, weekly, monthly surveillance monitoring and testing activities with the aim of detecting and preventing fraudulent or suspicious trading activities in the front office.
- Other Front Office Oversight: To carry out other second line of defence oversight of key front office controls and systems to ensure they are fully compliant
Required Experience:
- Experience of working in a front office compliance / surveillance function, in either a Buy-side or Sell-side firm is essential for this role.
- Proven experience of leading and developing a team is essential
- Proven experience of successfully conducting a Compliance Monitoring programme.
- Thorough understanding of FCA Conduct of Business Rules
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