DEPUTY HEAD OF TRADE AND COMMUNICATIONS SURVEILLANCE EMEA AND MARKET ABUSE INVESTIGATIONS LEAD - DIRECTOR

DEPUTY HEAD OF TRADE AND COMMUNICATIONS SURVEILLANCE EMEA AND MARKET ABUSE INVESTIGATIONS LEAD - DIRECTORGobal Banking firm which is a globally recognised leader offering capital markets, securities services, financing, treasury and advisory solutions.The Market Abuse Surveillance team is responsible for delivery of a comprehensive compliance market abuse surveillance and risk management framework across all banking business lines and functions across EMEA.Job Purpose & ScopeAs deputy head of the L2 alert investigations team, undertake day to day L2 trade surveillance investigations across CIB EMEA and review Market Observation (MO’s) / Suspicious Transaction and Order Report (STOR’s) before submission.Local Line management of the UK Market Abuse Surveillance team.Acting as an expert, to support the Market Abuse Surveillance team in all related tasks including the development and embedding of surveillance, risk coverage with respect to relevant regulatory requirements.Lead the conduct and documentation of complex market abuse related investigations which may arise via regular surveillance escalation (acting as L2) and ad-hoc cases including whistleblowing, management request, etc.Key ResponsibilitiesExpert in trade surveillance• When investigations are not prioritised, perform day to day L2 trade surveillance investigations across CIB EMEA and to review STOR’s and MO’s before submission• Manage alerts for trade surveillance and business escalations, conduct end-to-end investigation and MO’s / STOR’s filing to the regulators if needed.• Manage MO’s, STOR’s or Near Miss recording in referential tool used for escalation and any regulatory reporting.• With respect to MOs, STORs and Near Misses as well as present the conclusions (and lessons learnt, if any) to relevant governance and management forums while maintaining the required confidentiality of cases.• Liaise with Compliance teams locally, regionally and globally on escalations and investigations.• Effectively contribute to the development and enhancement of the trade surveillance models.• Contribute to the setup, implementation and operation of new surveillance technology• Be actively involved in recommending enhancements to surveillance processes.• Assist with the planning and implementation of any tactical or strategic solutions in order to fulfil Regulator / Internal audit / Compliance requirements.• Produce and maintain relevant Standard Operating Procedures.• Support the L1 offshore team by acting as point of escalation.• Participate in or lead training initiatives for off-shore based L1 teams.Whistleblowing and miscellaneous ad-hoc investigations:• Act as the EMEA MAS team’s subject matter expert and lead in relation to related formal investigations.• Depending on the ownership, scope, subject and complexity of these cases, either lead / coordinate / contribute to the relevant investigations and relevant reporting.• Ensure relevant analysis of data and records, conduct interviews, organise / lead investigation team and drive the investigation to a timely and meaningful conclusion.• Liaise with Legal, HR and Compliance teams as necessary in the conduct of these investigations.• Produce clear and concise reports regarding the outcome of the investigation (or relevant part of investigation), make recommendations, where relevant, and present it to relevant governance and management forums.• Act as point of contact for Compliance teams and in particular the Whistleblowing Referents related to cases where market abuse expertise is needed.• Develop and maintain a close working relationship with Compliance and other colleagues on market abuse surveillance investigation matters.• Maintain strict confidentiality when managing whistleblowing and other confidential cases.