Trade Surveillance AVP

A leading international financial institution is seeking a Compliance Assistant Vice President to join their Dublin office.

What you'll do:

• Assist in completing aspects of Compliance Risk Assessment, Market Abuse Risk Assessment, and other departmental risk assessments or gap analysis as appropriate, ensuring thorough documentation and timely closure.
• Execute the Surveillance Monitoring Plan by reviewing, investigating, closing, and documenting surveillance alerts across multiple asset classes traded by the Group using BTCA systems.
• Escalate any issues arising from trade surveillance promptly in accordance with the Group’s escalation policy under the direction of the Head of Surveillance.
• Support the preparation of internal and external reports by gathering relevant materials for monthly Compliance MI packs and other reporting requirements.
• Monitor European regulatory developments closely to identify new regulations that may impact organisational processes or risk exposure.
• Oversee information management procedures related to insider trading prevention, ensuring adherence to best practices and regulatory expectations.
• Assist with the application of internal compliance policies, procedures, regulatory rules, and global compliance objectives throughout the organisation.
• Work collaboratively with other members of the Surveillance team as well as broader Compliance colleagues on shared tasks and projects.
• Liaise with industry bodies when relevant to ensure alignment with sector standards and participate actively in all required compliance meetings.
• Stay abreast of changes in products or activities within the Group or evolving regulations that could affect risk management strategies; assist in delivering compliance surveillance-related projects.

What you bring:

• Demonstrated experience in compliance monitoring or trade surveillance within financial services or banking environments is essential for success in this role.
• Proven ability to execute risk assessments including Compliance Risk Assessment and Market Abuse Risk Assessment—with meticulous attention to detail.
• Strong understanding of European regulatory frameworks affecting financial institutions coupled with an ability to interpret new regulations effectively.
• Excellent written and verbal communication skills enabling you to prepare clear reports for internal stakeholders as well as external regulators.
• Advanced analytical skills allowing you to investigate surveillance alerts thoroughly across multiple asset classes using relevant technology platforms such as BTCA.
• Ability to work collaboratively within cross functional teams while sharing knowledge generously and supporting communal goals.
• Experience applying internal compliance policies alongside regulatory rules within complex organisational structures is highly desirable.
• Interpersonal skills marked by empathy, dependability, sensitivity towards others’ perspectives, and an inclusive approach when engaging with colleagues or industry bodies.
• Commitment to ongoing professional development demonstrated through participation in mandatory training sessions or learning initiatives.
• Adaptability in responding positively to changes in products or regulations that impact risk management strategies.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates