We are seeking a seasoned Senior Trade Surveillance Specialist to join our dynamic compliance and surveillance team at a leading global financial institution. This role plays a critical part in ensuring the integrity of our trading activities across listed and over-the-counter (OTC) equity and fixed income products in the U.S. market. You will work closely with our global trade surveillance teams to ensure alignment with internal policies, regulatory expectations, and industry best practices.
Key Responsibilities:
Conduct daily trade surveillance reviews for listed and OTC equity and fixed income products, with a focus on identifying potential market abuse, manipulation, or other anomalous trading behavior.
Analyze and escalate alerts and trading patterns that require further review or potential escalation to senior management.
Collaborate closely with global trade surveillance colleagues to ensure consistent and comprehensive monitoring across all regions.
Liaise between Compliance, Front Office and other stakeholders to support investigations and ensure issues are addressed promptly and thoroughly.
Participate in cross-functional governance and reporting forums, contributing to a cooperative supervisory structure.
Assist in tuning and enhancing surveillance models and systems to improve detection and reduce false positives.
Stay current with relevant regulatory developments, particularly those affecting swap dealers, security-based swap dealers, and fixed income markets.
Qualifications:
10+ years of experience in the financial services industry, with a minimum of 5 years in a trade surveillance or related compliance role.
Solid understanding of capital markets and financial instruments across asset classes; strong expertise in fixed income products is highly desirable.
Experience with Swap Dealer or Security-based Swap Dealer activity is a plus.
Familiarity with regulatory frameworks including SEC, FINRA, CFTC, NFA and other U.S. regulators.
Proficiency in trade surveillance tools and data analysis platforms; experience with market surveillance systems (e.g. Actimize, SMARTS, or similar) is preferred.
SIE and Series 7 licenses are advantageous.
Spanish language proficiency is a plus.
Excellent analytical, investigative, and communication skills.
Demonstrated ability to manage competing priorities in a fast-paced and evolving regulatory environment.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
With respect to this position in our Houston Office, the expected base salary ranges from $150,000 to $180,000. It is not typical for offers to be made at or near the top of the range. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus.
*Employment eligibility to work with BBVA in the U.S. is required as the company will not pursue visa sponsorship for these positions