Circle Lead, Regulatory Compliance Surveillance

KEY RESPONSIBILITIES (Action Verb – Object – Results) KEY WORKING RELATIONSHIP · Oversee the Treasury Surveillance activities to ensure compliance with the regulatory requirements and ethical standards of the business activities. · Assess adequacy of the review and closure of Treasury trade and communication alerts, including analysis of any patterns or trends, via the Treasury Surveillance related systems and Monthly Compliance Report. · Review and recalibrate Treasury trade and communication parameters and thresholds on an on- going basis or as and when needed, in efforts to enhance surveillance approach. · Escalate potential market misconduct or potential breach of regulatory limit, to the Group Regulatory Compliance (GRC) COE Lead.…