Market Surveillance Optimization - VP
Barclays · Posted Oct 27
Banking, credit card, corporate, investment banking, and wealth management services
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About the role
The Market Surveillance team at Barclays develops and maintains an effective, efficient and comprehensive Market Surveillance programme, working with Surveillance Operations, Technology, Business Oversight Compliance and the Business. The role focuses on optimising surveillance model scenarios through commercial and risk-based prioritisation, robust data analysis and monitoring of market activity such as order flows, prices and trading volumes. The VP will help drive the surveillance optimisation book of work, manage the model inventory, support regulatory and audit queries, and present recommendations to Surveillance operating forums and Product Compliance.
What you will do
- Role holder will also help with managing the model inventory and books of work in coordination with members of the global team.
- Will support the creation, challenge and updating of supporting documentation on the rationale provided for recommendations, the presentation of recommendations to the appropriate Surveillance operating forum and to product compliance as required.
- Contributing to the regular ad hoc and scheduled documented assessments of surveillance model scenarios across the programme to determine efficiency and effectiveness with a goal of optimising the scenarios by helping to enhance data quality, increasing relevant risk coverage and increasing scenario productivity
- Ongoing monitoring of scenarios and performing testing of model scenarios to help evidence that scenarios are performing as intended
- Monitoring market activities continuously, including order flows, prices, trading volumes and potentially communications to identify potential irregularities or market misconduct.
- Assist with in-depth investigations to gather evidence and assess the risk of market manipulation, insider trading, or other misconduct.
- Provide assistance and business support in projects related to the firm’s market surveillance framework.
- Support with regulatory queries and internal/external audit requests.
- Provision of accurate and timely reports to regulatory authorities, internal stakeholders, and management regarding market surveillance activities, incidents, and trends
- Execution of appropriate controls and /or reviews aligned to the Barclays control framework and related firm-wide standards.
- Assist with developing, enhancing and maintaining the function in accordance with business expansion and technical developments
- Following-up potential internal and external issues and report upwards to team members and management
- Support and help to manage ongoing relationships with Product Compliance Stakeholders and Compliance Technology and Change Management contacts
- Provide assessment outcomes on the performance of model scenarios
- Help to drive surveillance optimisation book of work
- Provide assistance for surveillance coverage assessments, developing surveillance requirements that future proof the function, always considering the end-user experience of handling surveillance alerts
- Collaborate with the team developing complex surveillance models and Optimisation tooling
- Proactively manage emerging threats identified across Surveillance, in partnership with Global Surveillance Operations
- Assist in identifying significant surveillance issues, fully investigating and promptly escalating where necessary
- Be empowered and able to seek out relevant internal expertise as part of the analysis process
Skills used in this role
What the employer is looking for
- A proven track record in contributing to the ongoing maintenance and improvement of a Markets Surveillance program
- Strong understanding of Market Surveillance risks/typologies and how they present themselves in the underlying data and transaction flows of the various products traded at Barclays
- Good understanding of the power of analytics to supplement global surveillance strategies
- Detailed understanding of applicable regional and global laws and regulations which govern and inform surveillance activities (e.g. MiFID II, MAR etc)
- Excellent understanding of how Compliance and its sub-functions interact with each other and the business and how Surveillance work with these areas to meet our functional objectives.
- The key critical skills you required for this role are Decision-making and Problem Solving, Risk and Control Objective, and Stakeholder Management and Leadership.
Preferred qualifications
- Appropriate university degree
- Be “tech savvy” and interested by the opportunities technology provides for quality, efficiency or accuracy.
- Strong understanding of risk management and control functions
- Strong knowledge and experience of market surveillance systems (e.g., SMARTS, Trading Hub etc )
Benefits and support
- Compensation and benefits are detailed in the job posting
About Barclays
Barclays is a British multinational universal bank that provides consumer, corporate, and investment banking, as well as wealth management services. Tracing its origins back to 1690 in London, the institution operates globally to serve millions of retail and institutional clients. The bank leverages cutting-edge technology and digital platforms to drive operational efficiency across its international network.
- Industry
- Banking
- Company size
- 93000+ employees
- Founded
- 1690
- Location
- London, United Kingdom
- Funding stage
- Public Company
Leadership
Group Chief Executive
Group Finance Director
Group Chief Operating Officer
Recent coverage
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