Job Description

We’re seeking a future team member for the role of Vice President - Trade Surveillance (Model Management) to join our Compliance team. This role is located in Lake Mary, Florida.

The Vice President - Trade Surveillance (Model Management) has key responsibility in helping the firm manage its regulatory risk through the implementation and/or oversight of trade surveillance across the various businesses and countries in which BNY conducts business. the right candidate will have familiarity with surveillance requirements as outlined by the U.S. Securities and Exchange Commission, FINRA, the Financial Conduct Authority and APAC regulators. Experience with trade surveillance vendors and previous experience implementing a global trade surveillance system is preferred. 

In this role, you’ll make an impact in the following ways: 

• Execute the firm’s approach to Trade Surveillance model validation harnessing the latest available technology solutions 
• Review transaction alert parameters to detect and identify potential market abusive activities or behaviour.
• Review and evidence alert parameter review and model performance testing clearly and factually.
• Identify and lead surveillance model validation change programmes, coordinating globally where required.
• Work with External Vendors, Business Compliance and 1LOD business control where relevant partner functions to ensure the proper reporting of surveillance model validation issues internally on a timely basis.
• Escalate findings in a controlled and organised fashion.

To be successful in this role, we’re seeking the following: 

• Preferred experience: extensive industry experience with time working in Trade Surveillance.
• Strong knowledge of the financial services regulatory environment is essential.
• Excellent spoken and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.
• Advanced MS Office skills.
• Strong data science and analytical skills, including proficiency in Python or R, with the ability to identify, collate and distil relevant information and present findings effectively to senior stakeholders.
• Focused attitude to work with the ability to constantly meet deadlines while ensuring attention to detail, and high level of accuracy.
• Good interpersonal and communication, and negotiation skills.
• Ability to work effectively in a fast-paced environment, with the ability to prioritize and balance competing, time sensitive demands.
• Bachelor’s Degree required (or equivalent)

At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.

Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what #LifeAtBNY is all about. Join us and be part of something extraordinary.