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Bank Of America Director Trade Surveillance Alert Reviewers - Central United States, New York, New York 785257119
Position Description/Responsibilities:
BCO has an open role for a senior Business Controls Executive, at Director level, to work within a global team of trade surveillance specialists, focused in the Rates LOB. This position will require deep product knowledge / ex-trading experience to provide expertise to key aspects of the bank’s Trade Surveillance Framework in the FLU or 1st Line, including surveillance scenario design, implementation, parameter setting, regular reviews, venue coverage, data quality, alert dispositioning, and support with investigations.
Candidate must be able to thrive in a fast-paced and high-pressure environment with primary responsibilities being to:
- Work within a global Central Trade Surveillance team within the GM BCO function charged providing expertise together with others, maintaining global transparency and consistency (where appropriate) of roles, processes, and accountabilities, and enhance governance and associated documentation.
- Interface with Regulatory agencies (e.g., OCC, FINRA, SEC, PRA, FCA, etc.) as required, representing the bank and to be accountable for ensuring regulatory concerns are appropriately and swiftly addressed.
- Work with global GM BCO and internal stakeholders to identify control gaps, design, implement and track through SIAIs remedial actions to close and continue to improve conduct and culture within the business and wider organization.
- Support the bank’s Trade Surveillance Framework in the FLU or 1st Line responsibilities, including design, implementation, parameter setting, regular reviews, venue coverage, data quality, alert dispositioning, and investigations.
- Identify and gaps in surveillance coverage and data completeness and where surveillance can be improved to reduce noise form false positive alerts.
- Provide BCO input into Enterprise and Global Markets policies and procedures.
- Represent Global Markets BCO at various committees, forums and meetings as required; and
- Act as an escalation point to BCO and local FLU leadership for any items that require escalation, awareness, or approval.
- Lead and/or participate in the execution of testing and implementation of vendor trade surveillance products.
Experience required:
- 15+ years of industry experience as a Trader in one of the following: FX, Rates, Credit, Commodities, Mortgages, Equities, E-Trading.
- Able to demonstrate in-depth trading/product knowledge around trading correlations, use of derivatives and hedging.
- Bachelor's degree required.
- Understanding of Market Misconduct behaviors across Trading and Sales business.
- Ability to work collaboratively across multiple stakeholders and deliver results in a timely manner.
- Self-starter with ability to multitask and manage competing priorities, managing effectively in a dynamic environment.
- Excellent verbal and written communication skills with the ability to articulate complex concepts in a clear and concise manner.
- Attention to detail and high standard for quality work product.
- Commitment to provide timely and accurate guidance to FLU with strong ability to influence when needed.
- Inquisitive mindset and the ability to think creatively to solve problems and anticipate potential questions or issues.
- Effective time management and prioritization, strong multi-tasking abilities.
- Excellent judgment in handling sensitive and confidential information; and
- FINRA Series 7, 24 & 63 licenses preferred but not a pre-requisite.
- TradingHub experience highly desirable
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