Market Surveillance VP

Barclays•Jefferson, CO

1d•$145,000 - $200,000

About The Position

The Market Surveillance VP will strengthen and enhance Barclays’ global market surveillance program. The role assesses surveillance models, identifies emerging market risks, and supports the detection and prevention of market abuse and misconduct. It uses data analytics and risk-based methodologies to optimize surveillance scenarios, improve monitoring effectiveness, and strengthen regulatory compliance. The VP collaborates with Technology and business stakeholders on surveillance enhancements, regulatory initiatives, and risk management strategies, while driving continuous improvement and contributing to a robust surveillance framework. The role monitors and analyzes market activity for potential abuse or manipulation, verifies adherence to regulatory requirements and internal policies, and takes action to mitigate market misconduct. It also supports projects related to the firm’s surveillance framework, regulatory queries and audits, reporting, and controls. The position is located in Whippany, New Jersey.

Requirements

Experience supporting, maintaining, and enhancing market surveillance programs in financial services or investment banking.
Understanding of market surveillance risks, trading activities, transaction flows, and market abuse typologies across financial products.
Knowledge of market manipulation, insider trading, and other forms of market misconduct.
Experience assessing, testing, and optimizing surveillance models, monitoring scenarios, and alert-generation processes.
Analytical ability to interpret complex trading data, identify suspicious patterns, and evaluate surveillance effectiveness.
Decision-making, problem-solving, and communication skills, including presenting findings and recommending improvements.
Ability to manage competing priorities.
Ability to collaborate with cross-functional stakeholders.
Ability to assess complex alternatives, apply interpretative thinking, and develop innovative solutions.
Ability to manage and mitigate risks and strengthen controls.

Nice To Haves

Comprehensive knowledge of applicable market surveillance regulations, including MiFID II and MAR, and relevant regulatory requirements.
Experience conducting surveillance investigations, identifying emerging risks, and supporting regulatory inquiries and audit requests.
Understanding of Compliance functions, risk management principles, internal controls, and regulatory governance frameworks.
Experience working with Compliance, Surveillance Operations, Technology, and business leadership stakeholders.

Responsibilities

Continuously monitor order flows, prices, trading volumes, and communications to identify irregularities or potential market misconduct.
Conduct in-depth investigations, gather evidence, and assess risks of market manipulation, insider trading, and other misconduct.
Support business projects related to the firm’s market surveillance framework.
Support regulatory queries and internal and external audits.
Prepare accurate and timely reports for regulatory authorities, internal stakeholders, and management on surveillance activities, incidents, and trends.
Execute controls aligned with the Barclays control framework and firm-wide standards.
Support the control environment in relation to data quality and model effectiveness and efficiency.
Assess surveillance models, identify emerging market risks, and support detection and prevention of market abuse and misconduct.
Use data analytics and risk-based methodologies to optimize surveillance scenarios and improve monitoring effectiveness and regulatory compliance.
Collaborate with Technology and business stakeholders on surveillance enhancements, regulatory initiatives, and risk management strategies.
Contribute to strategy, requirements, recommendations for change, continuous improvement, and escalation of policy or procedure breaches.
Manage and mitigate risks through assessment and demonstrate accountability for managing risk and strengthening controls.
Advise key stakeholders, functional leadership teams, and senior management on functional and cross-functional impacts and alignment.
Build and maintain relationships with internal and external stakeholders to accomplish business objectives.
Apply analytical and research-based problem-solving to develop solutions and recommendations.
Demonstrate Barclays Values and Mindset in performing the role.