Trade Surveillance, Manager

Our client is a leading global financial services institution with a growing Global Trade Surveillance function focused on market conduct compliance, regulatory risk management, and surveillance oversight across commodities and energy markets.This is a hybrid role 3 days in office. This role offers significant exposure to OTC commodities trading, regulatory investigations, market conduct oversight, and global compliance initiatives within a highly dynamic trading environment. The ideal candidate will possess strong commodities surveillance expertise, deep understanding of market abuse risks, and experience conducting complex investigations across physical and derivative energy markets.Key Responsibilities

• Oversee day-to-day execution of trade and communications surveillance activities across commodities and energy trading businesses.
• Conduct and lead investigations into potentially suspicious OTC commodities trading activity, market abuse concerns, and conduct-related issues.
• Review and analyze surveillance alerts, trading activity, communications data, and transactional records to identify potential regulatory or policy violations.
• Assess regulatory and conduct risks related to trading activity, client interactions, and booking practices.
• Serve as a key escalation point for complex or high-risk surveillance matters and investigations.
• Ensure surveillance reviews and investigations are appropriately documented, escalated, and remediated in accordance with regulatory expectations and internal standards.
• Provide guidance and oversight to junior surveillance staff and support development of surveillance best practices and investigative methodologies.
• Partner closely with regional and global Compliance teams to maintain consistent and defensible surveillance coverage across business lines.
• Support enhancements to surveillance controls, monitoring frameworks, escalation procedures, and governance processes.
• Assist with responses to regulatory inquiries, examinations, audits, and enforcement-related matters as needed.
• Monitor regulatory developments, market trends, and emerging conduct risks impacting commodities and energy markets.
• Promote a strong culture of compliance, market integrity, and effective risk management across the organization.

Qualifications

• 6 8 years of experience within commodities and energy markets, with strong focus on OTC trading, surveillance, market conduct, or regulatory compliance risk.
• Deep understanding of market abuse and manipulation risks, surveillance methodologies, and conduct-related regulatory expectations.
• Experience conducting trade surveillance reviews and investigations across commodities, energy, derivatives, or physical trading environments.
• Strong knowledge of CFTC, FERC, exchange rules, and/or other global regulatory frameworks applicable to commodities markets.
• Strong analytical and investigative skills with the ability to reconstruct trading activity and assess complex market conduct scenarios.
• Experience analyzing trading data, communications records, and surveillance alerts using surveillance systems and monitoring tools.
• Excellent verbal and written communication skills with strong stakeholder management capabilities.
• Ability to manage multiple priorities and operate effectively in fast-paced and high-pressure environments.
• Strong organizational skills with attention to detail and sound professional judgment.
• Experience mentoring or overseeing junior surveillance professionals preferred.