The BNYM Markets Global Surveillance Program is looking to hire a full time surveillance analyst to monitor, investigate and escalate alerts to supervisors and compliance. The surveillance analyst will be based in the Company's Canary Wharf office and will have a direct reporting to the EMEA Surveillance SME. The surveillance analyst will liaise between sales and trading staff, supervisors, compliance and quant developers that will support the surveillance framework. Responsibilities:
Perform daily monitoring and investigation of trade surveillance alerts using a visualization tool.
Promptly escalate and communicate as appropriate, alerts that require supervisor and / or compliance review.
Maintain and monitor a database of remedial actions / recommendations arising from trade surveillance.
Co-ordinate with on-site developers and business analysts to implement any code additions / changes, e.g. reporting, adjustment of alert parameters to reduce false positives.
Assist in the development of a surveillance operating model by providing recommendations for escalations and workflow on an alerts basis.
Package and present management information for periodic review by the Surveillance Governance Committee.
Analyse and report on trends seen in the daily process to senior supervisors, the Surveillance Governance Committee and compliance management.
Where necessary, plan and implement new surveillance programs or expansions into other BNYM lines of business.
As required, enhance the trade surveillance processes to achieve higher efficiency (e.g. reduction in false positives) while not reducing quality.
Actively participate in investigations into incidents arising as required.
Assist compliance in regulatory, internal or client requests.
Experience in a compliance trade surveillance role / front office trading role / front office supervisor role.
Experience in both trade and communications surveillance
Knowledge of at least two of the following, Equities, Fixed Income, Derivatives and/or FX
Familiarity with global regulation and industry best practices aimed at mitigating market manipulation and employee misconduct. #LI-DH1
For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers.
Global Markets, through its Foreign Exchange, Derivatives, BNY Mellon Capital Markets, LLC and BNY Mellon Capital Markets EMEA Limited businesses, provides a broad array of products and services for corporate, institutional and high-net-worth investors to choose among various vehicles aimed at protecting principal, providing growth and managing risk.
BNY Mellon is an Equal Employment Opportunity Employer.
Primary Location: United Kingdom-Greater London-London Job: General Mgmt / Admin Internal Jobcode: 70693 Organization: MARKETS CENTRAL MANAGEMENT-HR15164 Requisition Number: 1715519