Trade Surveillance, Vice President, Oversight, Monitoring and Testing
Core
Leading daily trade surveillance and compliance activities across equities, derivatives, fixed income, and commodities to ensure regulatory adherence and resolve alerts.
Role type
Vice President, Trade Surveillance & Compliance Oversight
Builds
Surveillance controls, monitoring tools, and management information reporting for global trading desks
Domain
Financial Services / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | client delivery | infrastructure
Required skills
Trade surveillance across asset classes, regulatory compliance, alert investigation and escalation, control logic design and calibration, stakeholder management, data analysis, third-party surveillance system management, SQL, Tableau
Preferred skills
Post graduate qualification (MSc or MBA in Finance), experience with Nasdaq Trade Surveillance, Trading Hub, or Actimize
Technologies
Nasdaq Trade Surveillance, Trading Hub, Actimize, Bloomberg, LSEG Workspace, Tableau, SQL
Responsibilities
Conduct daily surveillance across equities, derivatives, fixed income, and commodities; investigate and resolve surveillance alerts; design and calibrate surveillance controls; prepare and submit regulatory reports (STORs); improve Management Information (MI) reporting; partner with technology and business units to enhance the surveillance framework.
Seniority
Executive (Vice President), strategic oversight with hands-on technical leadership
