- 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.
- 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;
- The role requires the candidate to be educated to degree level with professional qualifications desirable
- Ability to manage multiple tasks and to prioritise work in line with Management direction;
- Strong written and verbal communication skills;
- Accuracy and attention to detail;
- Solid analytical and organizational skills, with keen attention to detail
- Ability to work independently and as part of a team;
- Ability to work under pressure
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Trade Surveillance Officer - Frankfurt am Main, Deutschland - SMBC Bank EU AG
Beschreibung
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.
Equal opportunities
SMBCE is a proud signatory of the HM Treasury Women in Finance Charter.
As an equal opportunity employer, we welcome applicants from all backgrounds.
As an inclusive employer, we are open to exploring flexile and agile working patterns as appropriate.
Job description
Office: SMBC Bank EU AG Frankfurt or Düsseldorf
Department: Compliance
Group: Monitoring & Trade Surveillance
Corporate Title: Associate
Position: Trade Surveillance Officer
Description of Duties
Experience Required
Specific Qualifications
Personal Characteristics / Other Information
Is this role a Certification or Senior Management function?: No
Any health & safety issues to be aware of?: No
How to apply
If you are interested, we look forward to receiving your full application documents. Please also indicate your availability.
As an equal opportunity employer, we welcome applicants from all backgrounds.
SMBC Bank EU AG
Human Resources
Neue Mainzer Straße 52-58
60311 Frankfurt am Main
