Senior Director, Global Head of Trade Surveillance

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 :

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

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

Job function

Job function

Other

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