Business Control
1 semana atrás
The Global Markets Business Controls Office (BCO) is responsible for the creation, maintenance and oversight of a robust supervision and control infrastructure relating to non-financial risk, including but not limited to compliance with regulatory rules and guidance as well as operational controls in partnership with the business Front Line Unit (FLU). BCO is a global group with teams in many locations providing control oversight to Sales, Trading, Electronic/Algorithmic and Research businesses across Global Markets in respect of regulatory and governance programs.
The Trade Surveillance Specialist will work alongside the global trade surveillance team, focused in one or more of the following asset classes: FX, Rates, Equities, E-Trading. This position will require a good and demonstrable experience in trade surveillance alert investigation and dispositioning and a good understanding of Market Misconduct behaviors and other Trading and Sales applicable regulations, to support key aspects of the bank’s Trade Surveillance Framework in the FLU or 1st Line.
**Responsibilities**:
- Work within a regional GM BCO team to review, disposition and investigate Trade Surveillance alerts;
- Work with and escalate to the Central Trade Surveillance team within the GM BCO function, escalating where further investigation is required, where gaps are discovered or proposing changes/improvements to surveillance scenarios to reduce false positives alerts;
- Work as a team to maintain global transparency and consistency (where appropriate) of roles, processes and accountabilities, and enhance governance and associated documentation;
- Provide support to those interacting with Regulatory agencies (e.g. OCC, FINRA, SEC, PRA, FCA, etc.) as required;
- Work with global GM BCO and internal stakeholders to identify control gaps, design, implement and track through SIAIs remedial actions to close and continue to improve conduct and culture within the business and wider organization;
- Provide BCO input into Enterprise and Global Markets policies and procedures;
- Represent Global Markets BCO at various committees, forums and meetings as required; and
- Act as an escalation point to BCO and local FLU leadership for any items that require escalation, awareness or approval.
**Core skills and requirements**:
- 5+ years of demonstrable trade surveillance alert review and dispositioning experience;
- Bachelor's degree preferred or equivalent experience;
- Understanding of Market Misconduct behaviors across Trading and Sales business;
- Ability to work collaboratively across multiple stakeholders and deliver results in a timely manner;
- Self-starter with ability to multitask and manage competing priorities, managing effectively in a dynamic environment;
- Excellent verbal and written communication skills with the ability to articulate complex concepts in a clear and concise manner;
- Attention to detail and high standard for quality work product;
- Commitment to provide timely and accurate information to BCO colleagues as required;
- Ability to think creatively to solve problems and anticipate potential questions or issues;
- Effective time management and prioritization, strong multi-tasking abilities;
- Excellent judgment in handling sensitive and confidential information;
- FINRA Series 7, 24 & 63 licenses preferred but not a pre-requisite.
- Fluent in Portuguese and English
**Job Band**:
H5
**Shift**:
**Hours Per Week**:
40
**Weekly Schedule**:
**Referral Bonus Amount**:
0
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