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Senior Surveillance Professional

2 months ago

New York, New York, United States Sumitomo Mitsui Banking Corporation Full time
Job Summary

Sumitomo Mitsui Banking Corporation is seeking a highly skilled Senior Surveillance Professional to join our Market Surveillance team. As a key member of our team, you will be responsible for monitoring and investigating market abuse risks within our FX and Fixed Income trading activities.

Key Responsibilities
  • Review and follow up on trade surveillance alerts and exception reports to identify potential market abuse risks.
  • Investigate suspicious trading activity using market data, trade data, and communication records.
  • Collaborate with front office personnel and other stakeholders to resolve surveillance escalations.
  • Develop and maintain procedures to ensure effective surveillance operations.
  • Stay up-to-date with current regulatory issues and rule changes.
  • Work closely with Compliance Advisors, Business Control Officers, Risk Management, Operations, IT, and Legal teams to ensure compliance with regulatory requirements.
Requirements
  • 7+ years of experience in financial services, with a focus on securities business.
  • Knowledge of regulatory agencies' rules and regulations, as well as market abuse typologies.
  • Familiarity with trade surveillance tools and platforms, such as Bloomberg BTCA, Actimize, and SMARTS.
  • Proficiency with market data vendors and Microsoft Office applications.
  • Advanced skills in analytical and investigative techniques.
  • Strong communication and interpersonal skills.
Preferred Qualifications
  • Experience as a trader, trade surveillance professional, or regulator.
  • Securities licenses.
What We Offer

Sumitomo Mitsui Banking Corporation offers a competitive salary and benefits package, as well as opportunities for professional growth and development. Our hybrid workforce model provides employees with the flexibility to work from home and in the office.

We are an equal employment opportunity employer and welcome applications from diverse candidates. If you need a reasonable accommodation during the application process, please let us know.