Trade Surveillance Officer - Associate

at  SMBC Bank EU AG

WHO WE ARE

SMBC is the 12th largest bank in the world by assets with over 100,000 employees globally across over 40 countries. More than 2,000 people are located in the EMEA region.
As a wholly owned European subsidiary of SMBC, SMBC Bank EU AG is a universal bank with its head office in Frankfurt´s Maintower and branches in Düsseldorf, Amsterdam, Dublin, Madrid, Milan, Paris and Prague. The Bank offers a broad range of wholesale banking products as well as capital markets and securities products, thereby providing a strong portfolio of financial services in the European Economic Area (EEA).
We have a 400 year heritage routed in Japan. Our purpose is to be a trusted partner for the long term and our culture is one of respect, teamwork, friendliness, and inclusion. Our outstanding and growing SMBC team is made up of people from all over the world, who bring a diversity of nationalities, education, career and life experience.

JOB DESCRIPTION

Office: SMBC Bank EU AG Frankfurt or Düsseldorf
Department: Compliance
Group: Monitoring & Trade Surveillance
Corporate Title: Associate
Position: Trade Surveillance Officer

EXPERIENCE REQUIRED

• Experience of trade surveillance and awareness of associated industry practices and disciplines;
• Good knowledge of financial services, markets, securities and banking activities;
• Regulatory awareness and understanding of the emerging regulatory landscapes;
• Good understanding of market abuse risks;

SPECIFIC QUALIFICATIONS

• The role requires the candidate to be educated to degree level with professional qualifications desirable

• Execute assigned SMP reviews (i.e. review, investigation and timely closure and documentation of surveillance alerts), across asset classes traded by the Group;
• Maintain a good working knowledge of surveillance systems employed by EU AG
• Support the maintenance of relevant surveillance procedures and surveillance program documentation, in accordance with Management direction ;
• Escalate any issues arising from trade surveillance undertaken and manage as per the applicable procedures;
• Assist in the preparation of internal and external reports and related material gathering e.g. monthly MI packs;
• Assist with the Firm’s application of internal Compliance policies and procedures, applicable laws and regulations and SMBC Global Compliance objectives;
• Work collaboratively on tasks with other members of the EU AG and EMEA Surveillance team, as well as the broader Compliance team, where applicable;
• Attend all team and department meetings as required and complete mandatory training on a timely basis;
• Keep abreast with changes in products/activities of the Group and/or regulations that may have an impact on risks to the Group; and
• Assist in the delivery of compliance surveillance related projects, including the annual market abuse risk assessment, where required.
• Support the SMBC EU Head of Monitoring & Surveillance with ad hoc tasks, where required.