Surveillance Optimization - AVP
Barclays · Posted Oct 29
Banking, credit card, corporate, investment banking, and wealth management services
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About the role
Barclays' Market Surveillance programme monitors and analyses market activity for potential signs of abuse or manipulation, verifying adherence to regulatory requirements and internal policies. The team works across Surveillance Operations, Compliance Technology, Product Compliance and Business Oversight Compliance. This AVP role supports the development, optimisation and effectiveness of surveillance models and scenarios, including assessments, data quality improvements, alert productivity, governance forums and regulatory or audit support.
What you will do
- Conduct regular and ad-hoc assessments of market surveillance scenarios to evaluate their effectiveness and efficiency.
- Perform ongoing monitoring and testing of surveillance models to ensure scenarios are operating as intended.
- Identify opportunities to optimise scenarios through improved data quality, risk coverage and alert productivity.
- Monitor market activity including order flows, prices, trading volumes, transactions and, where relevant, communications to identify potential market misconduct.
- Support investigations into potential market manipulation, insider trading and other forms of market abuse.
- Support surveillance coverage assessments and development of new or enhanced surveillance requirements.
- Assist with the management and delivery of the Surveillance Optimisation book of work and model inventory.
- Prepare and maintain supporting documentation explaining surveillance assessments, findings and recommendations.
- Present or support the presentation of optimisation recommendations to relevant Surveillance governance forums and Product Compliance stakeholders.
- Work collaboratively with teams developing surveillance models, analytics capabilities and optimisation tooling.
- Identify emerging surveillance risks and issues and support investigation and escalation where appropriate.
- Provide support for regulatory enquiries and internal or external audit requests.
- Produce accurate and timely reporting on surveillance activities, issues, trends and optimisation outcomes.
- Build and maintain effective relationships with Surveillance Operations, Product Compliance, Compliance Technology and Change Management teams.
- Execute appropriate controls and reviews in line with the Barclays control framework and applicable standards.
Skills used in this role
What the employer is looking for
- Market Surveillance: Proven experience supporting the maintenance, assessment or optimisation of a Markets Surveillance programme.
- Surveillance Models & Scenario Optimisation: Strong understanding of surveillance scenarios, model performance, alert generation, scenario testing and optimisation techniques.
- Market Abuse Risk & Trading Data: Strong knowledge of market surveillance risks and typologies, including market manipulation and insider trading, with an understanding of how these risks appear within transaction, order and trading data.
- Data & Analytics: Good understanding of how data analysis and analytics can be used to assess surveillance effectiveness, improve risk coverage and reduce unproductive alerts.
- Regulatory Knowledge: Detailed understanding of relevant market conduct and surveillance regulations, including MiFID II and MAR, and how regulatory requirements influence surveillance programmes.
Preferred qualifications
- Relevant experience within Market Surveillance, Trade Surveillance, Compliance Surveillance, Market Conduct Risk or a related Compliance/Financial Crime function.
- Experience working with surveillance scenarios, alerts, trading or transaction data and surveillance controls.
- Understanding of financial markets, traded products, order flows and market conduct risks.
- Strong analytical and problem-solving skills with the ability to interpret surveillance data and scenario performance.
- Ability to document findings clearly and communicate recommendations to Compliance, Technology and business stakeholders.
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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