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Global Head of Exchange Traded Products Surveillance - Director
Finance & Investment Industry Company
New York, NY, United States
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Compliance
At Company, good compliance is everybody’s responsibility. The Compliance department’s core functions support good compliance practice to prevent and detect violations of all applicable laws, rules and principles that observe high standards of individual behavior and business conduct.
Working closely with the business, compliance professionals ensure that our risk based programme is both globally effective and locally anchored to our key divisional businesses. As an independent and robust second level control function, the Compliance Department seeks to manage compliance risk and deepen the culture of compliance at Company through the development and management of strategies that are sustainable and increases the trust of our clients.
Position Overview
As a Second Line of Defence function, the Compliance Department seeks to protect the Bank’s licenses to operate by promoting and enforcing adherence with laws, regulations, rules, expectations of regulators, the standards of self-regulatory organizations, and codes of conduct / ethics in connect with the Bank’s regulated activities, and driving a culture of compliance and ethical conduct in the Bank. It seeks to provide an independent and objective assurance to the Management Board of the Bank, on the adequacy of the design and effectiveness of the Compliance Risk control framework for the areas for which it has been allocate responsibility. Compliance also seeks to provide independent, proactive and forward looking challenge and advice to senior managers as well as all employees.
Surveillance
Surveillance is responsible for performing routine monitoring of trading and communication activities to ensure compliance with applicable rules, regulations and firm policies.
Key Activities:
• Management and oversight of the Bank’s global surveillance programme for exchange traded products, including trading and communications
• Key liasison between global Surveillance and the global equities, options and futures businesses, Business Line Compliance and other relevant stakeholders
Overview of Role
Managing and overseeing surveillance activities for exchange traded products relating to market abuse/misconduct (i.e., market manipulation) and assocated risks, excluding AFC and fiduciary controls
Reporting Lines
The role reports to the Global Head of Surveillance (based in New York).
Areas of Responsibility
• Defining and implementing the global surveillance strategy for exchange traded products in association with applicable stakeholders
• Working with regional teams in multiple locations to effect the execution of the strategy
• Key point of contact between Surveillance and Compliance IT/GTO in respect of exchange traded products surveillance
• Managing relationships with senior equities, options and futures business management around surveillance issues
• Acting as point of escalation/referral for exchange traded products surveillance issues, including providing upward escalation on pertinent matters
• Providing guidance and training to the Surveillance team on issues in equities, options and futures including; financial products, regulatory developments and other pertinent compliance/surveillance issues
• Mentoring and developing staff involved in the exchange traded products surveillance process to ensure effective and efficient operation of surveillance activities
• Ensuring the preparation and presentation of relevant management information to stakeholders
Key Relationships
• Member of the Global Surveillance Product Leadership Team
• Managing relationships with Audit (internal and external) and regulators in respect of exchange traded products surveillance issues
• Representing DB at various external fora including industry bodies and trade associations
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Company is an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the “EEO is the Law” poster and pay transparency statement.