Senior Director, Global Head of Trade Surveillance

BNY Mellon Capital Markets, LLC; London; Hybrid; GBP 120,000 - 160,000; Full time

Job summary

A leading global financial services company seeks a Senior Director, Global Head of Trade Surveillance, to manage regulatory risk through effective trade surveillance practices. The candidate will implement key surveillance solutions, ensuring compliance across diverse business units. This hybrid role fosters a team-oriented culture emphasizing innovation and success.

Benefits

Competitive compensation

Flexible global resources

Generous paid leaves

Paid volunteer time

Qualifications

• Extensive industry experience in Trade Surveillance.
• Strong knowledge of the financial services regulatory environment.
• Excellent communication skills in English.

Responsibilities

• Design and execute trade surveillance strategy leveraging technology.
• Review transaction alerts for market abusive activities.
• Lead thematic surveillance programs globally.

Skills

Trade Surveillance

Regulatory Compliance

Analytical Skills

Communication

Education

Bachelor’s Degree

Tools

MS Office

Job description

Senior Director, Global Head of Trade Surveillance

Senior Director, Global Head of Trade Surveillance

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Job Description

At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world’s financial system we touch nearly 20% of the world’s investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our clients that benefit businesses, communities and people everywhere.

Job Description

At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world’s financial system we touch nearly 20% of the world’s investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our clients that benefit businesses, communities and people everywhere.

We continue to be a leader in the industry, awarded as a top home for innovators and for creating an inclusive workplace. Through our unique ideas and talents, together we help make money work for the world. This is what is all about.

We’re seeking a future team member for the role of Global Head of Trade Surveillance to join our Core Compliance team. This role is located in London and is Hybrid.

The Global Head of Trade Surveillance has key responsibility in helping the firm manage its regulatory risk through the implementation and/or oversight of trade surveillance across the various businesses and countries in which BNY conducts business. the right candidate will have familiarity with surveillance requirements as outlined by the U.S. Securities and Exchange Commission, FINRA, the Financial Conduct Authority and APAC regulators. Experience with trade surveillance vendors and previous experience implementing a global trade surveillance system is preferred.

In this role, you’ll make an impact in the following ways:

• Design and execute the firms approach to Trade Surveillance harnessing the latest available technology solutions
• Review transaction alerts to detect and identify potential market abusive activities or behaviour
• Review and evidence alert closures or escalations clearly and factually
• Ensure that all Trade Surveillance solutions have the appropriate Models in place subject to appropriate Model Management Risk standards
• Identify and lead thematic surveillance programmes, coordinating globally where required
• Work with Business Compliance and 1LOD business control where relevant partner functions to ensure the proper reporting of surveillance issues internally and to regulators on a timely basis
• Escalate findings in a controlled and organised fashion
• Approach surveillance activities on a holistic basis, considering the flow of orders and quotes from other lines of business and reviewing activities per trader/sales person
• Track and record issues and concerns as they arise and assist in the production of appropriate Management Information
  
  

To be successful in this role, we’re seeking the following:

• Preferred experience: Extensive industry experience with a demonstrable track record working in Trade Surveillance, ideally with a Trading backgorund.
• Strong knowledge of the financial services regulatory environment is essential.
• Excellent spoken and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.
• Advanced MS Office skills.
• Good analytical skills with capability of identifying, collating and distilling relevant information and presenting to senior stakeholders.
• Focused attitude to work with the ability to constantly meet deadlines while ensuring attention to detail, and high level of accuracy.
• Good interpersonal and communication, and negotiation skills.
• Ability to work effectively in a fast-paced environment, with the ability to prioritize and balance competing, time sensitive demands.
• Bachelor’s Degree required.
  
  

At BNY, our culture speaks for itself. Here’s a few of our awards:

• America’s Most Innovative Companies, Fortune, 2024
• World’s Most Admired Companies, Fortune 2024
• Human Rights Campaign Foundation, Corporate Equality Index, 100% score, 2023-2024
• Best Places to Work for Disability Inclusion , Disability: IN – 100% score, 2023-2024
• “Most Just Companies”, Just Capital and CNBC, 2024
• Dow Jones Sustainability Indices, Top performing company for Sustainability, 2024
• Bloomberg’s Gender Equality Index (GEI), 2023
  
  

Our Benefits And Rewards

BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life’s journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter.

BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.

Seniority level

• Seniority level

  Director

Employment type

• Employment type

  Full-time

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  Other

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