Compliance, Conduct & Operational Risk – Trade Surveillance – Vice President – Dublin

The EMEA Compliance Surveillance team (“Surveillance”) monitors and analyses the sales, trading and banking activities conducted by the Corporate Investment Bank and Asset/Wealth Management business as well as undertaking the surveillance of electronic communications (e.g. e-mail, Bloomberg etc.) and telephone communications.  Surveillance utilises and develops electronic tools and integrative techniques to detect potential and/or actual violations of firm policy and legal/regulatory requirements. Surveillance works in close partnership with various Compliance teams and groups across the Firm.

Responsibilities include but are not limited to: 

• Daily surveillance alert reviews;
• Involvement in various projects, including the development and testing of new surveillance models;
• Engagement with business and business aligned compliance teams;
• Training and development of other team members

Skills, attributes and experience required:  

• Strong desire to work in a Surveillance team with good investigative instincts and background;
• An understanding of markets and trading;
• Experience in the development and implementation of system enhancements including the documentation of business requirements;
• Experience in review of alert scenario effectiveness and threshold calibration;
• Ability to effectively partner with technology and experience in Agile software development;
• A desire to learn and the ability to clearly communicate issues with Compliance and business colleagues; 
• Good working knowledge of the applicable regulatory principles and rules;
• The candidate must possess: (i.) initiative and judgement; (ii.) the ability to prioritise conflicting demands, organise one's agenda and work under pressure; (iii.) the relationship management skills to deal with management and build partnerships with other departments; (iv.) the ability to work in teams and the readiness to share knowledge; (v.) good oral and written communication skills; and (vi.) intermediate to advanced Microsoft Excel skills;
• Non-English language skills would be desirable but not essential.