Surveillance Manager (Mandarin Speaker Preferred)

Our client a leading Investment Bank are looking for a surveillance officer to join their surveillance function sitting within Compliance, monitors Market Conduct, and Financial Crime.

In addition to transaction and communication surveillance, the Surveillance team is tasked broadly with other aspects of Market Conduct and Financial Crime Compliance including adhoc investigations into reports of suspicious behaviour, suspicious transaction and activity reporting, training, policy and procedure drafting, and leading bank-wide risk assessments.,

Job Purpose

This is a Manager role within Surveillance, directly to the Head of Surveillance ensuring that the overall Surveillance function operates effectively and in a manner that reduces regulatory, operational and audit risk.

The division's framework incorporates four key areas of responsibility

• the annual Surveillance Risk Assessment
• the Surveillance Assurance Plan
• iii) Data governance
• iv) Project Delivery

The role involves working closely with the team who carry out the role of reviewing alerts and performing surveillance tests to detect suspicious activities. Assessing inherent market conduct and Financial Crime Risk and the effectiveness of controls.

Key Responsibilities

• To develop the surveillance effectiveness framework
• To effectively manage Staff (1 report)
• To manager the Annual Risk Assessment
• To perform ongoing assurance of Surveillance controls in line with an annual plan.
• To develop and deliver training to team members and firm wide staff training on matters relevant to market conduct and financial crime.
• To carry out transaction surveillance as required.
• To perform four eye review of surveillance alerts and manual monitoring tests
• To develop new tactical surveillance tests e.g. using Excel to fill coverage gaps ahead of strategic implementation.
• To represent Surveillance at various Bank forums, committees and working groups.
• To identify and escalate potential market misconduct or other suspicious activity.
• To maintain knowledge and understanding of applicable regulation
• To assist with investigations and requests for information from regulatory authorities and exchanges.

Preferred Qualifications and Experience

• Fluent mandarin language (written and spoken)
• Experience of working in a regulated environment and in a Market Abuse Surveillance team
• Experience working with market, client and firm static data

Knowledge, technical skills and expertise:

• Understanding of relevant Market Abuse laws, regulations and guidelines
• Understanding of Financial Crime rules, regulations and industry guidelines, including rules and regulations on anti-money laundering (e.g. the Joint Money Laundering Steering Group (JMLSG) guidance), counter-terrorism, anti-bribery and corruption, sanctions and fraud.
• Understanding of client onboarding processes
• Knowledge of FCA relevant Market Conduct rules
• IT skills including proficient level Microsoft Excel
• Strong numeracy skills with demonstrable skills in the compilation and manipulation of data
• Drafting skills - ability to draft to a high standard.