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Career Opportunity

MSS Transaction Monitoring Equity Security Services - SVP

Locations: London, England Job Function: Risk Management Employee Status: Regular Job ID: 20177473

This role sits within the Global Markets Conduct Risk area and requires the role holder to develop conduct related surveillances and monitoring capabilities for the Equity Security Services 'ESS' Markets business leveraging data science disciplines to manage conduct risk across our global business. The role will support the Head of MSS Transaction Monitoring ESS.

Key responsibilities:

The following  are some of the specific activities expected of this role:

  • Support scoping, design and implementation of the Markets front office trade monitoring operating model to provide risk-based coverage of market abuse/manipulation and rogue trading behaviours globally
  • Assist Head of MSS Transaction Monitoring ESS and other Product Heads if required.
  • Develop and manage plans for productionising trade monitoring scenarios, working with product trade monitoring heads, LTA, and Technology to ensure controls are deployed in a risk-prioritised and efficient manner
  • Design, plan, and implement controls/MI to monitor effectiveness of the transaction monitoring operating model on an ongoing basis
  • Define and document required standards for transaction monitoring deliveries, and ensure deliveries are in line with expectations
  • Define and manage data sourcing and data quality processes for transaction monitoring, working with relevant stakeholders to review data quality issues and agree remediation priorities
  • Manage regulatory remediation plans to address FRB FX Consent Order requirements and regulatory feedback in relation to trade monitoring capabilities, defining and implementing corrective action plans where required
  • Partner with Technology, Supervision and LTA teams to build out a robust and sustainable technology platform and change management model for trade monitoring analytics

Knowledge, Experience & Skills:

Able to demonstrate extensive experience of:

  • Delivering end-to-end conduct risk remediation change
  • Target operating model implementation, with focus on conduct risk and controls
  • Understanding and interaction within the 1LoD
  • Partnering with Technology teams to shape and deliver technology solutions in support of required business outcomes
  • Strong working relationships with 2LOD and 3LOD to ensure outcomes are achieved in a safe and controlled manner 
  • Experience in successfully developing, leading and completing significant multiple business change with excellent stakeholder engagement and coordination
  • Good awareness and understanding of the key drivers, industry challenges and opportunities for trade monitoring
  • Strong knowledge and experience of the Equities market or support function an advantage

Skills and Competencies – Must be able to demonstrate extensive experience of:

  • Excellent analytical & problem-solving skills
  • Use metrics and statistical data to help drive trade monitoring capabilities
  • Significant attention to detail with an ability to contribute effectively to formative strategic development where necessary
  • Leadership in a co-operative and collaborative working environment
  • Communication, Interpersonal and  organizational skills to mobilize and motivate delivery
  • Management and facilitation  to achieve objectives, with both local and with remote teams
  • A practical and goal orientated focus with excellent verbal and written communication skills utilizing different media, to effectively communicate with senior management, clients and regulators


  • 10+ years experience in Operational Risk Management, Audit, Compliance or other control function
  • Familiarity with 3rd party risk models.
  • Consistently demonstrates clear and concise written and verbal communication skills
  • SQL, Perl or Python, Matlab or R, Excel VBA. Database administrator experience is a plus.


  • Bachelor’s/University degree or equivalent experience, potentially Masters degree


Job Family Group:

Risk Management


Job Family:

Business Risk & Controls


Time Type:


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