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VP/Director, Trade Surveillance Reviewer/Asset Class Expert - Credit

New York, New York

Job Description:

The Global Markets Business Controls Office (BCO) is responsible for the creation, maintenance and oversight of a robust supervision and control infrastructure relating to non-financial risk, including but not limited to compliance with regulatory rules and guidance as well as operational controls in partnership with the business Front Line Unit (FLU).

BCO is a global group with teams in many locations including New York, Charlotte, London, Paris, Hong Kong, Singapore and Tokyo providing control oversight to Sales, Trading, Electronic/Algorithmic and Research businesses across Global Markets in respect of regulatory and governance programs.

Position Description/Responsibilities:

BCO has an open role for a senior Business Controls Executive to work within a global team of trade surveillance specialists, focused in Credit Trading. This position will require deep product knowledge / ex-trading experience to provide expertise to key aspects of the bank’s Trade Surveillance Framework in the FLU or 1st Line, including surveillance scenario design, implementation, parameter setting, regular reviews, venue coverage, data quality, alert dispositioning and support with investigations.

The successful candidate will report to the Head of FICC BCO Central Trade Surveillance Global Markets Business Controls Office. They will undertake the day-to-day development and/or enhancement of Trade Surveillance focused in one of the above mentioned asset classes. They will have a deep knowledge of trading, together with an understanding of Market Misconduct behaviors and other Trading and Sales applicable regulations related to this asset class.

This individual will work closely with the LOB supervisors and senior management/COOs and other support functions (e.g., Compliance, Enterprise Independent Testing (EIT), Risk, Operations and Technology, Legal, Audit and Human Resources). Their goal will be to ensure that there are no gaps in surveillance or venue coverage and that trade data quality is good and complete, identify instances where surveillance can be improved to reduce noise from false-positive alerts ensuring that the line of business is in compliance with applicable rules, regulations and implementing industry best practices.


Candidate must be able to thrive in a fast-paced and high-pressure environment with primary responsibilities being to:

  • Work within a global Central Trade Surveillance team within the GM BCO function charged providing expertise together with others, maintaining global transparency and consistency (where appropriate) of roles, processes and accountabilities, and enhance governance and associated documentation;
  • Interface with Regulatory agencies (e.g. OCC, FINRA, SEC, PRA, FCA, etc.) as required, representing the bank and to be accountable for ensuring regulatory concerns are appropriately and swiftly addressed;
  • Work with global GM BCO and internal stakeholders to identify control gaps, design, implement and track through SIAIs remedial actions to close and continue to improve conduct and culture within the business and wider organization;
  • Support the bank’s Trade Surveillance Framework in the FLU or 1st Line responsibilities, including design, implementation, parameter setting, regular reviews, venue coverage, data quality, alert dispositioning and investigations;
  • Identify and gaps in surveillance coverage and data completeness and where surveillance can be improved to reduce noise form false positive alerts;
  • Provide BCO input into Enterprise and Global Markets policies and procedures;
  • Represent Global Markets BCO at various committees, forums and meetings as required; and
  • Act as an escalation point to BCO and local FLU leadership for any items that require escalation, awareness or approval.

Experience required:

  • 7+ years of industry experience within Credit; trading experience preferred but not a pre-requisite
  • Able to demonstrate in-depth trading/product knowledge around trading correlations, use of derivatives and hedging;
  • Bachelor's degree preferred or equivalent work experience.
  • Understanding of Market Misconduct behaviors across Trading and Sales business;
  • Ability to work collaboratively across multiple stakeholders and deliver results in a timely manner;
  • Self-starter with ability to multitask and manage competing priorities, managing effectively in a dynamic environment;
  • Excellent verbal and written communication skills with the ability to articulate complex concepts in a clear and concise manner;
  • Attention to detail and high standard for quality work product;
  • Commitment to provide timely and accurate guidance to FLU with strong ability to influence when needed;
  • Inquisitive mindset and the ability to think creatively to solve problems and anticipate potential questions or issues;
  • Effective time management and prioritization, strong multi-tasking abilities;
  • Excellent judgment in handling sensitive and confidential information; and
  • FINRA Series 7, 24 & 63 licenses preferred but not a pre-requisite.


1st shift (United States of America)

Hours Per Week: 


Learn more about this role

Full time


Manages People: No

Travel: No

New York pay and benefits information

New York pay range:

$110,000 - $250,000 annualized salary, offers to be determined based on experience, education and skill set.

Discretionary incentive eligible

This role is eligible to participate in the annual discretionary plan. Employees are eligible for an annual discretionary award based on their overall individual performance results and behaviors, the performance and contributions of their line of business and/or group; and the overall success of the Company.


This role is currently benefits eligible. We provide industry-leading benefits, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.

Street Address

Primary Location:
ONE BRYANT PARK, NY, New York, 10036