BUSINESS UNIT: Corporate & Institutional Banking (CIB) - Chief Controls Office
LOCATION: London, Birmingham, and Edinburgh
HOURS: Full Time - 35 hours per week
WORKING PATTERN: Our work style is hybrid, which involves spending at least two days per week, or 40% of our time, at one of our office sites.
ABOUT THIS ROLE
We're looking for a Senior Surveillance Lead, to directly contribute and lead through the wider team, critical subject matter expertise into a multi-year change programme to deliver further enhancements to our surveillance capability.
There will be substantial opportunities for personal development and executive exposure given the nature of the role. You'll be an experienced leader looking to further your career and will be given opportunities to deputise for the Head of Surveillance at many of the associated regular committees/forums.
Key accountabilities
* Full management responsibility of a team of Level 1&2 Trade Surveillance Analysts. Define performance standards and build specialist capability. This includes recruitment, annual appraisals, coaching and feedback.
* Act as a senior partner to front office, product, compliance advisory, Change Platform, technology, and data teams, challenging on new products, venues and booking models.
* Working with the Data team, ensuring that the Trade Surveillance Analysts have the capabilities to assess or analyse substantial amounts of data, mitigate risk and identifying patterns, trends, and anomalies.
* Act as the senior escalation point for the effectiveness of surveillance controls, investigations quality and regulatory interactions.
* Oversee complex and sensitive investigations, ensuring robust fact-finding, legal/compliance input, disciplined documentation, and appropriate regulatory notification or internal actions.
* Own thematic reviews, risk assessments, MI and reporting into Boards, Risk committees, and SMF holders
* Provide key input, and where necessary challenge annual product and control effectiveness reviews.
WHAT YOU'LL NEED
* Deep knowledge of Market abuse (MAR, MiFID II, FCA Handbook) regulatory framework.
* Leadership experience, combining investigation expertise, with risk assessment.
* Previous relevant direct experience in trade surveillance with another organisation
* Strong data and technology literacy and the ability to shape requirements and challenge vendors, or internal tech teams.
* Understanding of Operational Risk Framework methodology and systems
ABOUT WORKING FOR US
Our focus is to ensure we're inclusive every day, building an organisation that reflects modern society and celebrates diversity in all its forms. We want our people to feel that they belong and can be their best, regardless of background, identity, or culture.
We were one of the first major organisations to set goals on diversity in senior roles, create a menopause health package, and a dedicated Working with Cancer initiative.
And it's why we especially welcome applications from under-represented groups. We're disability confident. So, if you'd like reasonable adjustments to be made to our recruitment processes, just let us know.
If you're excited by the thought of becoming part of our team, get in touch. We'd love to hear from you.