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Identify potential new forms of staff or counterparty misconduct.
Ensure that all alerts are satisfactorily escalated and resolved.
Undertake timely and accurate resolution of requests by Regulators, senior management and the businesses/asset classes into certain practices, businesses, individuals and events. Escalate, as appropriate, any material findings or incidents of misconduct highlighted by these investigations.
Support the development of new trade surveillance controls to identify misconduct and market abuse, including in the testing of next generation trade and communications systems.
Partner with regulatory change and other regulatory SMEs to understand new and revised regulatory requirements, codes of practice and others, ensuring surveillance is correctly positioned to satisfy regulatory requirements and changes and that any impact is disseminated to the appropriate Businesses
On occasion, delegate for Surveillance management at internal control and governance forums.
Support management in the resolution of audit and control findings
Required experience/knowledge
An ability to think strategically, with perspective, and demonstrate resilience, is critical.
An ability to inspire confidence and enthusiasm in GRS deliverables in both staff and stakeholders is critical.
An ability to act in a pressurized, but supportive environment, is critical.
An ability to self-motivate and 'do the right thing' is critical.
Strong, practical experience of risk management in a multi-dimensional environment (for example, industry expectations, regulatory pressures, extensive internal scrutiny, cost-constrained environment).
The ability to analyse and present complex information in a clear, concise and precise written and verbal format is essential.
This role requires subject matter expertise in Fixed Income (Rates or Credit products and associated activities), or allied areas.
