Floor Surveillance Officer and Teamlead for Trade Surveillance #124450Schweiz-Switzerland - Region Zurich-Zürich |   Vollzeit | Corporate Functions | 

Stellen ID

 124450Legal & ComplianceEnglish

We Offer

  The role in Switzerland covers the Floor Surveillance Officer (FSO) and Teamlead function. The FSO acts as a final filter of escalations (Trade Surveillance), before passing on to the Front Office for response and supervisory sign-off. The FSO also maintains constructive engagement with the Front Office, Coverage Compliance, Control Room, Anti-Fraud, QA and Training. The FSO should ensure that all market conduct risks are understood and documented and that the control environment is robust enough to mitigate residual risk of market abuse. 

• Leading the team in Zurich and representing it in global working groups and meetings.


• Accurate filtering of Level Two alerts before passing on to the Front Office for response and Supervisory sign-off.


• Daily engagement with Front Office and Compliance Coverage to ensure the strong knowledge of relevant business, risks and controls


• Providing regular updates to the Regional Surveillance Head


• Collaborating with peer group globally


• Roll out of formal training and mentoring program for the analysts which is aligned with industry/firm-wide developments


• Conduct quality assurance of alerts reviewed by analysts across Trade Surveillance


• Overseeing of the MI for senior FO consumption and ensure smooth management of the process


• Conduct 1:2:1 with direct reports

You Offer

 

• Degree level education in Banking related field or another meaningful education


• Do you experience on senior level in a trading environment or in a control function taking care of such topics


• You have a deep understanding of the regulatory environment in the financial industry


• Do you have strong communication skills and are you passionate about a position where you partner with the different interfaces of this role


• You are a dedicated problem solver with a positive personality and can-do attitude


• Are you fluent in English? Any other language is a plus

 *LI-CSJOB*

Mr. T. Baumgartner would be delighted to receive your application.Please apply via our career portal.