Description

Are you an experienced professional passionate about ensuring compliance in financial markets? Join a leading financial institution as a Trade Surveillance Officer and play a vital role in developing and maintaining robust surveillance frameworks, monitoring market activities, and fostering a strong compliance culture. This is a unique opportunity to work in a dynamic environment where your expertise will help safeguard the organization and shape its approach to market integrity.

Your tasks

Surveillance Development

• Support the design and enhancement of trade surveillance frameworks across SMBC Bank EU AG and affiliated entities.
• Assist in implementing policies and procedures aligned with regulatory changes and new legislation.
• Collaborate with stakeholders to improve surveillance systems, reports, and processes in line with evolving regulations.
• Ensure the surveillance framework aligns with regulatory advancements and remains effective.
• Stay updated on regulatory developments and best practices to ensure the framework's relevance.

Surveillance Management

• Execute surveillance processes, including reviewing, investigating, and documenting alerts using systems such as Bloomberg Transaction Cost Analysis (BTCA).
• Maintain and update the trade surveillance program to optimize its effectiveness.
• Develop and apply Market Abuse Risk Assessment (MARA) methodologies for impactful surveillance programs.
• Conduct Departmental Risk Assessments and gap analyses as necessary.
• Coordinate surveillance-related projects and deliver timely, accurate management information.
• Escalate and resolve issues, ensuring they are fully documented and addressed promptly.
• Prepare and submit suspicious trading activity reports to relevant authorities.
• Draft investigation summaries and Suspicious Transaction Order Reports (STORs).
• Identify and implement enhancements to existing controls and test their effectiveness.
• Monitor insider trading prevention procedures and contribute to compliance meetings and mandatory training.
• Stay informed about product, regulatory, and market changes that could affect organizational risks.

Stakeholder Engagement

• Build and maintain strong relationships with internal stakeholders, such as business teams, IT, and external service providers, to enhance surveillance systems and processes.
• Collaborate with Compliance, Risk, and Internal Audit teams to address surveillance findings and market developments.
• Foster a team-oriented approach to tasks and projects within the Surveillance and broader Compliance teams.

Your profile

• Degree-level education; professional qualifications are a plus.
• Experience in trade surveillance within a securities house, broker-dealer, or wholesale banking environment.
• Familiarity with Bloomberg surveillance tools is desirable.
• Strong knowledge of regulatory frameworks, including MiFID II and MAR.
• Solid understanding of capital markets, treasury investment products, and financial conduct risks.
• Proven ability to manage multiple investigations and issues concurrently.
• Excellent written and verbal communication skills with strong analytical and problem-solving abilities.
• Self-motivated, detail-oriented, and able to work effectively under pressure, both independently and as part of a team.
• Diplomatic and logical approach to challenging policies and practices, with a team-oriented mindset.