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Surveillance Manager

Thomson Reuters Legal & Regulatory Professionals 2/5/2018 1:16:31 PM New York, NY United States of America
Job Description

Key Responsibilities/Accountabilities:

Functional: (role-related responsibilities).  This list is non-exhaustive and other duties may be added from time to time:

  • Monitor for improper trading behaviour such as price manipulation, spoofing, insider dealing, insider information violations, and general market abuse.

  • Review platform trading activity for any violations with TR rulebooks, operating procedures, and/or market regulations.

  • Manage surveillance platform alert output. Discern which alerts require further escalation.  Present alert findings to Surveillance Committee.  Ensure alert risks are mitigated in a timely manner.

  • Create cases associated with questionable alerts.  Own alert case lifecycle from inception to completion.

  • Work with the broader surveillance team to help build, create FRDs, beta test, and implement new alerts.

  • Assist with alert calibration for new and existing modules.

  • Prepare management information reports for both internal and external regulatory reporting purposes.

  • Develop, maintain and update relevant regulatory policies, processes and procedures. Monitor activity and enforce compliance with all aspects of these policies, processes and procedures.

  • Ensure regulatory obligations, such as standard, frequent and ad hoc regulatory filings and reporting, are made in a correct and timely fashion.

  • Conduct and document regular testing and monitoring of controls and procedures.

  • Foster and manage regulatory relationships with all relevant regulators.

  • Develop, implement and conduct compliance training programs. Review existing programs for needed improvements and updates due to revisions in laws and regulations.

  • Engage in risk assessment and risk mitigation planning specifically related to TR trading platforms.

  • Work closely with the business unit to develop pragmatic solutions/opportunities while remaining cognizant of regulatory rules, obligations and expectations.

  • Work seamlessly and in partnership with other members of the Thomson Reuters Legal team, fostering a collegiate and effective partnership.

  • Leverage and partner with other colleagues within Thomson Reuters, which include but are not limited to, IT, Onboarding, Operations, and the BU.

  • Ensure effective management of relationships with relevant US (and where relevant global) regulators.

  • Manage external compliance and legal resources and relationships as needed.

Managerial: (people management responsibilities, planning, resourcing, process/ workflow management and improvement, etc.)

Organisational: (committee memberships, cross-border projects and interactions, local interactions within the branch, authorities, etc.)

  • Attending relevant meetings at all levels when requested by Chief Compliance Officer, for example, assisting with any regulatory inquiries or audits.

Technical Knowledge:

Knowledge of FX products, Spot, Fwd, Swaps, NDFs, and Options

Knowledge of FX ECNs.

Knowledge and Understanding of regulated activity, in particular CFTC and SEF

Experience working with monitoring and surveillance programmes

Excellent verbal and written communication

Attention to detail

Excellent planning and organisation abilities

Excellent time management and delivery skills

Able to analyse and provide solutions

Excellent verbal and written communication

Attention to detail

Excellent planning and organisation abilities

Excellent time management and delivery skills

Able to analyse and provide solutions


Knowledge of regulations / market practice in other countries – Europe, US, Asia

At Thomson Reuters, we believe what we do matters. We are passionate about our work, inspired by the impact it has on our business and our customers. As a team, we believe in winning as one - collaborating to reach shared goals, and developing through challenging and meaningful experiences. With more than 45,000 employees in more than 100 countries, we work flexibly across boundaries and realize innovations that help shape industries around the world. Making this happen is a dynamic, evolving process, and we count on each employee to be a catalyst in driving our performance - and their own.

As a global business, we rely on diversity of culture and thought to deliver on our goals. To ensure we can do that, we seek talented, qualified employees in all our operations around the world regardless of race, color, sex/gender, including pregnancy, gender identity and expression, national origin, religion, sexual orientation, disability, age, marital status, citizen status, veteran status, or any other protected classification under country or local law. Thomson Reuters is proud to be an Equal Employment Opportunity/Affirmative Action Employer providing a drug-free workplace.

Intrigued by a challenge as large and fascinating as the world itself? Come join us.

To learn more about what we offer, please visit

More information about Thomson Reuters can be found on

New York-New York-United States of America
Req #: JREQ098620
Locations: New York-New York-United States of America
Job Function: Legal & Regulatory Professionals
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