About the role
Key Responsibilities
- Lead surveillance coverage and investigations across CTY trading activities.
- Identify, assess, and escalate potential market abuse, misconduct, and control-related risks.
- Partner with business, compliance, legal, and regulatory teams to enhance surveillance models and controls.
- Provide subject matter expertise on market structure, trading practices, and regulatory expectations.
- Drive surveillance effectiveness through data-driven insights, thematic reviews, and continuous improvement initiatives.
- Support internal audits, regulatory inquiries, and governance forums
- 15+ years of relevant experience in Capital Markets / Global Markets with deep expertise in CTY trading activities and surveillance.
- Proven experience in conducting trade surveillance, market abuse investigations, and managing regulatory risks within a global financial institution.
- Strong understanding of market abuse risks including insider trading, market manipulation, front-running, spoofing, and other trading misconduct.
- Deep knowledge of market structure, trading practices, and applicable regulatory frameworks.
- Expertise in surveillance methodologies, alert review, investigations, and escalation management.
- Experience in designing, enhancing, and optimizing surveillance controls and monitoring frameworks.
- Conduct and lead complex surveillance reviews and investigations across CTY trading activities.
- Assess, document, and escalate potential misconduct, compliance breaches, and control weaknesses.
- Perform thematic reviews and trend analysis using data-driven approaches.
- Support regulatory examinations, internal audits, and governance reporting requirements.
- Partner effectively with Front Office, Compliance, Legal, Risk, and Regulatory stakeholders.