Director of Trade Surveillance
4 weeks ago
Title: Business Execution Consultant 5 (Director of Trade Surveillance)
Location: New York, NY
Term: 12+ months (Extension / Hire)
Responsibilities:
Perform Global delivery of strategic FLOD surveillance, monitoring platform and tools
Establish a robust surveillance framework through implementation of a trade surveillance platform, system controls and escalation framework
Review market making and Automated Client execution activity, to assess monitoring requirements
Manage relationships with front office, Implementation team and technology team and data deliverables for Transaction monitoring
Provide Market Integrity training to BAU monitoring teams and business Supervisors (e.g. Sales and Trading Desk heads)
Define requirements and Design next generation surveillance models that can be used by first line
Create Procedures and System Controls to ensure sustainable controls are documented in line with risk Management Framework
Engage with SMEs and managers at all levels and across multiple lines of business/support functions and serve as an experienced advisor to leadership
Lead team meetings or steering committees to facilitate decision making and ensure implementation of recommendations and plans including long term, sustainable, highly complex and unique business challenges
Provide vision, direction, and expertise to senior leadership for implementing innovative and significant business solutions that are scalable, global and cross organizational
Qualifications:
7+ years of risk management, business controls, quality assurance, business operations, compliance, or process experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
An SME with strong background to CIB Markets, excellent technical skills and good track record of delivering platform/application delivery.
Significant experience delivering Trading platforms and controls for large investment banks
In depth experience in Regulatory Change including, but not limited to, Trade Surveillance & Business controls for MAR (Market Abuse Regulation) and MiFID (Markets in Financial Instruments Directive)
Significant experience with trade surveillance monitoring systems, model development, design and calibration including deep understanding of model design and calibration processes
Experience of working on trading floor in a trading, business manager or e-Trading analyst capacity
Advanced experience in FLOD IT Project and Product Management of large-scale global projects
Experience in Algo trading or equivalent experience building Algo transaction monitoring models
Advanced quantitative and data analytical skills, with experience in analytics and database tools (e.g. SQL, R, Python)
EEO:
“Mindlance is an Equal Opportunity Employer and does not discriminate in employment on the basis of – Minority/Gender/Disability/Religion/LGBTQI/Age/Veterans.”
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