Trade Surveillance Officer - Vice President (f/m/d)
Düsseldorf, DE, 40549
SMBC: A trusted partner for the long term
Here at SMBC Group, we want to help you find the next step in your career so read on to discover if this opportunity is the one for you. We like to recognise potential in our people, so we welcome your application even when your experience doesn’t perfectly align with the job description. Whilst we’ll always strive to be better, we’re proud of our inclusive culture, and encourage our applicants and colleagues to be their authentic, unique selves.
Who we are
United by a sense of purpose towards our customers – to be a trusted partner for the long-term – and our universal banking platform in EMEA, SMBC Group has an international growth agenda and award-winning products, meaning we provide exciting opportunities to work on a diverse range of projects and initiatives. We deliver a full suite of corporate finance products and solutions to our customers as well as investment banking and advisory services, and a range of innovative solutions in global capital markets. Read on to find out how you could enhance your skills and gain valuable experience, by joining us to support our clients transition to a sustainable future.
Role Summary
The Trade Surveillance Officer is responsible for the design and implementation of a suite of trade surveillance models, designed to detect behaviours that may violate regulatory rules and/or internal policies and procedures focused on market conduct.
The role reports directly and in first place to the SMBC Bank EU AG Head of Monitoring and Surveillance and does not have any budgetary responsibility.
Business Area
Compliance Department – Monitoring & Surveillance
Position Description
Reporting to the SMBC Bank EU AG Head of Monitoring & Surveillance, based in Düsseldorf, the Job Holder is responsible for completing allocated surveillance tasks defined under the SMBC Bank EU AG Surveillance Monitoring Plan (‘SMP’). The SMP is a critical part of the compliance oversight framework and is the responsibility of the Surveillance team to complete effectively in order to mitigate compliance risk.
The Job Holder is expected to contribute actively towards the completion; improvement and development of the SMP through their role, as well as ensuring issues are properly escalated and managed as per the firm’s escalation policy under the direction of the SMBC Bank EU AG Head of Monitoring and Surveillance and EMEA Head of Surveillance.
Competencies
What we offer
For all the expertise and experience you bring to help us make a difference, it’s only sustainable if we support you to build your career and be your best self so we offer competitive company benefits, centred around promoting positive well-bring and work-life balance. We also believe in fostering a diverse and inclusive work environment, where all team members perspectives and contributions are valued. Initiatives in place which promote a diverse and inclusive culture and healthy work life balance include hybrid working, Sport & Social Clubs and Diversity and Inclusion networks.
As an employee of SMBC you have access to a host of both useful and exciting benefit offerings. See below some of the benefits on offer to you:
- Hybrid and flexible working
- Competitive paid leave days
- Benefits to support your physical wellbeing, including private medical insurance and life and invalidity insurance
- Various policies to support your mental wellbeing, including a robust behavioural health network with counselling and coaching services
- Access a wide range of learning and development opportunities and career progression opportunities
- Ambitious remuneration package
So, if you like a challenge and want to continuously grow and develop in a role where you will be supported along the way by a dynamic and diverse team, apply today!!
This role could be based in Düsseldorf or Frankfurt so welcome applications from both locations.
We recognise our role as a bank to support social change and welcome all applications, including those from groups often under-represented in financial services. We value the uniqueness of professional and personal, backgrounds and perspectives as they play a vital role in continuing the sustainable growth of our organisation. We’ll ensure reasonable adjustments to our recruitment process are offered due to a disability or long-term condition whenever requested.