RESPONSIBILITIES
• Undertake Trade and Communications surveillance of Equity derivative and/or Fixed Income markets & other business units using the firm’s monitoring tools as directed by procedures, management and team protocols.
• Compile and issue relevant regulatory reporting obligations where required
• With the London team and management, proactively manage the associated risks with the extended team TS coverage in Casablanca
• Support the collation and development of Management Information.
• Lead the implementation and enhancement of surveillance approaches / innovations and/or strategic solutions to meet requirements.
• Maintain and monitor a database of remedial actions/recommendations arising from trade surveillance, to ensure timely and satisfactory resolution of issues identified.
• Represent Capital Markets Surveillance in engagements with key stakeholders on surveillance related topics, risk and issues - as appropriate
• Proactively develop new and enhance identification and reporting of CMS metrics, KPI’s, KRI’s
• Participate and evolve the review of surveillance controls through engagement with Compliance and BU colleagues
• Co-ordination and delivery of regulatory or internal investigations/ reviews, as appropriate.
• Facilitation and/or team co-ordination of all aspects of the audit lifecycle from the initial presentation of surveillance capability through to recommendation management and reporting.
• Proactive and timely escalation of issues to management
• Lead departmental and team meetings, as required
• Active participation at relevant industry and trade association seminars, feeding back relevant information internally
• Identify, analyse, communicate and implement solutions to surveillance activities as a result of changes to regulation and/or market/company events
Skills & Technical Knowledge Required
- 10+ years relevant experience in Equity Derivatives or FX/ Fixed Income Markets
- Working knowledge of industry leading surveillance tools is an advantage but not essential
- A ‘risk management’ mind-set
- A flexible approach to ‘BAU’ and ‘change’
- Working knowledge of derivative/ Fixed Income regulations markets and practices
- Analytical approach regarding performing surveillance, supported by accurate record keeping and ability to manage and prioritise multiple review requirements
- Respect for highly sensitive nature of the role
- Teamwork: work collaboratively within immediate and wider global teams to complete existing and expanded surveillance requirements
- Innovation: identification and project skills so to facilitate the implementation of initiatives designed to improve the surveillance offering
- High level documentation and presentation skills
- English essential and other languages desirable
