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Vice President, Fixed Income,Trade Surveillance

  • Location

    New York, NY

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    $160,000 - 170,000

  • Contact:

    Connor Dueñas

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    about 2 months ago

  • Expiry date:


  • Startdate:


We're working with a top Canadian banking firm who are looking for a VP of Fixed Income Trade Surveillance to build out their growing Surveillance Team.

What you'll be doing:

  • Perform E-mail and phone call reviews of employees to ensure the appropriateness of communications
  • Review surveillance reports; document and report anomalies and trends to your supervisor,
  • Assist in maintaining up-to-date policies and procedures
  • Partner closely with Compliance and Supervision colleagues in order to monitor Regulatory developments in the context of current rules and industry trends.

What authorities you're entitled to:

  • Ability to challenge others about any action in an appropriate and balanced manner. They should also be able to follow up on any concern, question or issue that may arise.
  • Overall understanding of the Operating Group and/or assigned Assessable Unit(s) (“AU(s)”)
  • Direct access to all operations within their assigned AU(s), which includes access to all documents that the Vice President believes are relevant for the effective execution of their compliance responsibilities;
  • Attend meetings the Director believes are relevant for effective execution of the program.
  • Appropriate access to all levels of Management in their assigned AU(s) as well as the OGL and the Compliance Group, as required
  • Direct access to Trading Desk Heads and Business Managers for escalation &/or clarification of Trading Activities.

What they're looking for:

  • Strong product knowledge and understanding of trading activities and applicable regulations.
  • Solid knowledge of the Broker-Dealer and Banking Regulations, which include but are not limited to SEC, FINRA, OCC, FRB, CFTC, IIROC, OSFI etc.
  • Strong written and oral communication skills
  • Strong collaborative skills
  • Excellent Excel spreadsheet manipulation and data analytic skills
  • Strong relationship management skills; ability to establish and manage multiple stakeholder relationships with the business, within the three lines of defense and with corporate support functions 
  • Proven project management capabilities and an ability to coordinate the efforts of people and resources not under their direct control
  • Ability to read technical compliance material and distill the applicability of the regulations to respective business unit(s)
  • Demonstrated analytical, auditing, writing, communications, and presentation skills
  • Ability to deal with sensitive issues with tact and discretion
  • Excellent judgment and interpersonal skills, who can consult, influence, collaborate, appropriately escalate issues
  • Strong analytical skills – analyze the evidence collected on remediated controls and determine if there is substantive conformance with requirements
  • Ability to recognize material differences between planned execution and actual practice
  • Ability to communicate questions and requests in a professional and clear manner
  • Advanced educational degree is desirable – MBA, CPA, or JD.
  • Professional certifications are required– Series 7, 63, 24

For more information contact Connor Duenas at Hamlyn Williams at

(646) 349-2806