Compliance Officer, Trade & Communications Surveillance - FICC (VP)

Societe Generale; City Of London; On-site; GBP 70,000 - 90,000; Full time

Job summary

A leading global financial services firm based in London seeks an experienced professional for a Trade Surveillance role. The successful candidate will have over 10 years of experience in FX or Fixed Income markets, supporting regulatory reporting and managing surveillance tools. A strong analytical mindset and teamwork skills are essential, as well as the ability to handle sensitive information with discretion.

Qualifications

• 10+ years relevant experience in FX/ Fixed Income Markets.
• Working knowledge of industry leading surveillance tools is an advantage.
• Flexible approach to 'BAU' and 'change'.
• High level documentation and presentation skills.
• Respect for highly sensitive nature of the role.

Responsibilities

• Undertake Trade and Communications surveillance of Fixed Income/ Currency markets.
• Compile and issue relevant regulatory reporting obligations.
• Support the collation and development of Management Information.
• Lead the implementation and enhancement of surveillance approaches.
• Maintain a database of remedial actions arising from trade surveillance.

Skills

Risk management mindset

Analytical skills

Teamwork

Innovation skills

High-level documentation skills

English fluency

Job description

Responsibilities

• Undertake Trade and Communications surveillance of Fixed Income/ Currency markets & potentially 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

Qualifications

• 10+ years relevant experience (Surveillance and/or Trading) in 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