Our client, a leading financial markets and commodities bank with a unique global network and level of expertise, is seeking a Surveillance and Controls Manager. This role offers the opportunity to lead the Governance and Controls division within the Surveillance function, ensuring effective operation and reduction of regulatory, operational, and audit risk. The successful candidate will be part of an organisation that values passion, talent, and doing business the right way.
What you'll do:
As a Surveillance and Controls Manager, you will play a pivotal role in developing and running the Governance and Controls division. You will be responsible for managing staff effectively while performing ongoing assurance testing of Surveillance controls. Your role will also involve assisting with project work to ensure controlled delivery of new controls into BAU. You will have the opportunity to develop your skills further by delivering training to team members on matters relevant to market conduct and financial crime. Your responsibilities will also include carrying out transaction surveillance in line with documented procedures while maintaining complete records of alert dispositions, investigations, and outcomes.
- Develop and run the Governance and Controls division in accordance with its mandate and framework
- Manage staff working under this division reporting line effectively
- Perform ongoing assurance testing of Surveillance controls in line with an annual plan
- Assist with project work ensuring controlled delivery of new controls into BAU
- Develop and deliver training to team members on matters relevant to market conduct and financial crime
- Carry out transaction surveillance in line with documented procedures
- Maintain complete and accurate records of alert dispositions, investigations, and outcomes
- Represent Surveillance at various Bank forums, committees, and working groups
- Track and respond to internal reviews or actions proposed by internal risk teams
- Assist in Business Continuity Planning (BCP) testing on-site/off-site where required
What you bring:
The ideal candidate for the Surveillance and Controls Manager role will have a degree level education and fluency in Mandarin. You should have experience manipulating, assessing, and presenting data using Excel including macros/VBA. Experience working in a regulated environment, ideally within an Investment Bank or Broker Dealer is desirable. A strong understanding of Financial Instruments and Regulated Markets is necessary along with knowledge of FCA relevant Market Conduct rules. Strong numeracy skills with demonstrable skills in the compilation and manipulation of data are needed. Drafting skills - ability to draft to a high standard is required.
- Degree level education is required
- Fluency in Mandarin language (written and spoken) is preferred
- Experience manipulating, assessing, and presenting data using Excel including macros/VBA is essential
- Experience working in a regulated environment, ideally within an Investment Bank or Broker Dealer is desirable
- Understanding of Financial Instruments and Regulated Markets is necessary
- Knowledge of FCA relevant Market Conduct rules is crucial
- Strong numeracy skills with demonstrable skills in the compilation and manipulation of data are needed
- Drafting skills - ability to draft to a high standard is required
What sets this company apart:
Our client is a leading financial markets and commodities bank that benefits from a unique global network and level of expertise. They are driven to deliver the right outcomes for their stakeholders, clients, counterparties, and the markets in which they operate. They provide products in an environment which considers the appropriate needs of their clients while providing guidance and expertise to ensure their employees understand their business and uphold the highest levels of conduct.
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates