Senior Trade Surveillance Lead

3 weeks ago

Old Toronto, Canada Bank of America Full time

Job Description:

At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.

One of the keys to driving Responsible Growth is being a great place to work for our teammates around the world. We’re devoted to being a diverse and inclusive workplace for everyone. We hire individuals with a broad range of backgrounds and experiences and invest heavily in our teammates and their families by offering competitive benefits to support their physical, emotional, and financial well-being.

Bank of America believes both in the importance of working together and offering flexibility to our employees. We use a multi-faceted approach for flexibility, depending on the various roles in our organization.

Working at Bank of America will give you a great career with opportunities to learn, grow and make an impact, along with the power to make a difference. Join us

Job Description

The Sr Trade Surveillance lead, in collaboration with Risk and Compliance officers, ensures accountability primarily, for the timely completion of "Market Conduct Trade Surveillance” which begins with computerized analyses of activities that trigger “alerts” requiring additional review to determine whether the activity was a violation of a law, rule, regulation, policy or procedure requirement related to one or more Market Conduct Risk Behaviors. The Sr Trade Surveillance lead is a highly skilled subject matter expert in his or her area of expertise for Compliance and Operational Risk.

The Sr Trade Surveillance lead consults with compliance officers and operational risk to execute an effective trade surveillance program per requirements. This role contributes to the identification of themes and trends at the front-line unit, control function and enterprise level.

The Sr Trade Surveillance lead proactively manages the relationship with external consultants, front line unit (FLU) /Control Function (CF) Compliance and Operational Risk groups. This role participates in routines involving FLU/CF Compliance and regulatory agencies.

Responsibilities

  • The Sr Trade Surveillance lead is accountable for Trade Surveillance for the Independent Testing Function.

  • A highly tenured subject matter expert with strong subject matter expertise of trade surveillance and system(s) of record required to conduct trade surveillance and is able to translate business strategy into work programs and processes.

  • Accountable for the quality and timeliness of trade surveillance activities, reporting and analysis of results. This role may lead, contribute and participate in multiple special projects as an experienced subject matter expert of a processes and/or projects.

Required Qualifications

  • 5+ years work experience in related area

  • Bachelor’s Degree or equivalent experience

  • Adaptability to dynamic work environment with multiple priorities and strict deadlines.

  • Experience in drafting policies and procedures.

  • Ability to work in a team-oriented environment.

  • Ability to communicate through verbal, written and interpretational communication skills to all levels of the organization.

  • Excellent understanding of business, markets and products

  • Ability to handle multiple projects in a dynamic environment

  • Intellectual curiosity, anticipate risk and forward thinking

Desired Qualifications

  • Understanding of the Financial Industry, front office or back office experience or market and product knowledge (Equities, Foreign Exchange, Fixed Income and Commodities/Futures Options.

  • Front office or middle office experience, or trading related experience

  • Experience using surveillance tools such as Actimize and/or Smarts Surveillance platforms

  • Excellent interpersonal, written and verbal communication skills

Skills and Competencies

  • General understanding of trade surveillance, and the rules, laws, and regulations that address Market Misconduct

  • Knowledge of Fixed Income and Equities related products

  • Influences with Impact

  • Acts with Courage and Conviction

  • Demonstrates Business Acumen

  • Drives Operational Excellence

  • Develops Strong Talent

  • Applies Critical Thinking

  • Promotes Collaboration

  • Demonstrates Effective Consulting

  • Demonstrates Integrity

  • Manages Project

What Bank of America Offers

Bank of America embodies a culture that extends from how we think, to how we behave, and to how we measure performance. By achieving excellence - in everything we do, every time we do it - we deliver the full value of Bank of America for our clients, our shareholders and our employees.

Bank of America places a high value on talent and on maintaining a culture defined by meritocracy. For these reasons, it is deeply committed to professional development, opportunity and accountability at all levels of the organization.

Bank of America is an Equal Opportunity Employer.

Bank of America encourages applications from all qualified individuals. Applicants with disabilities may notify us of any accommodations needed to support your participation in the recruitment process. We wish to thank all applicants for their interest and effort in applying. Please be aware that only candidates selected for interviews will be contacted for this position.

Bank of America N.A. Member FDIC 2024 Bank of America Corporation. All rights reserved.

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