Senior Vice President - Trade Surveillance

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 and champions of inclusion, 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.

We’re seeking a future team member for the role of Senior Vice President - Trade Surveillance to join our Compliance team. This role is located in London, UK.

Team Description:

The Core Compliance function is one of the key functions of the Compliance and Ethics Management Framework.  The Core Compliance function, inclusive of its component parts: Compliance Risk Assessment, Regulatory Change Management, Surveillance, Monitoring and Ethics.

• Market Abuse Risk Assessment: An assessment of the inherent risk and control environment with respect to Market Abuse risks against laws, rules, and regulations resulting in identification of the highest risks to the Firm.
• Regulatory Change Management: New/Proposed/Amended laws, rules, regulations, standards, and certain guidelines/guidance that create obligations for Firm legal entities, LOBs or corporate functions.
• Compliance Surveillance: Independent check and challenge over in-scope businesses and functions through the continuous execution of primary and Quality Assurance (QA) trade, voice, and e-communications surveillance.
• Compliance Policies: Defining Surveillance / Market Abuse policy requirements and overseeing and reporting on the timely maintenance and implementation of the policy framework.

Outputs from these Core Compliance activities assist the Compliance Senior Leadership Team and the Firm’s Chief Compliance and Ethics Officer (CCEO) in maintaining an effective Compliance Risk Management Program.

Responsibilities:

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

• Lead and perform the execution of complex and/or large Compliance Governance & Control validation activity for all Corporate BNY Market Abuse Framework uplifts/remediation activity in alignment with validation requirements articulated in the underpinning procedures.
• Review and verify that the activities of Core Compliance functions align with the overall Market Abuse strategy and are sustainable and repeatable as applicable.
• Review, check, challenge and validation that the documentary evidence standards are aligned to the closure standards in place for uplift and remediation. 
• Contribute to the development of projects and programs to improve compliance and enhance the control environment with respect to Market Abuse risk.
• Assist in validating that controls and implementation of new control procedures are clearly documented in response to uplift and remediation actions.
• Ownership of setting standards on coordinating, execution and documenting execution of all validation activity and subsequent execution.  
• Stakeholder management and liaising with different Platforms Business Units/Core Compliance functions to manage execution and completion of validation activities as and when required.
• Active stakeholder management on any rejected validation activity and progression through secondary validation activity 
• Maintain inventory of procedures / manuals and records management inventory for all Core Compliance validation activity aligned Market Abuse functions.
• Represent Core Compliance on validation activity, including execution status, issues identified and standard development.
• Requirements: 
• To be successful in this role, we’re seeking the following: 
• Preferred experience: Extensive industry experience with a demonstrable track record working in Compliance / Audit.
• 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.
• Good analytical skills with capability of identifying, collating and distilling relevant information and presenting 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.

At BNY, our culture speaks for itself, check out the latest BNY news at:

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 Here’s a few of our recent awards: 

• America’s Most Innovative Companies, Fortune, 2025
• World’s Most Admired Companies, Fortune 2025
• “Most Just Companies”, Just Capital and CNBC, 2025

Our Benefits And Rewards:

BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life’s journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter.