LME Trade Surveillance Analyst

Compliance Professionals; Greater London; On-site; GBP 50,000 - 75,000; Full time

Job summary

Compliance Professionals is seeking a Surveillance Associate for a City-based brokerage with global reach to strengthen its surveillance and regulatory compliance capabilities. You will review surveillance alerts across firm and client trading, analyse e-communications, and document findings for management.

Ideal candidates will have strong LME knowledge, experience with market abuse surveillance, and familiarity with exchange rules.

Qualifications

• Strong knowledge of LME contract characteristics and market structure.
• Experience reviewing and processing automated surveillance alerts related to market abuse and financial crime risks.
• Understanding of key exchange principles and rules for trade negotiation and execution.

Responsibilities

• Review and analyse surveillance alerts and reports relating to firm and client trading activity.
• Review and analyse e-communication surveillance alerts and reports.
• Document review and resolution of exceptions and escalate matters as appropriate.
• Communicate surveillance findings to management clearly and concisely.
• Assist with trade surveillance alert calibration assessments.
• Assist in responding to enquiries from exchanges and regulators.
• Prepare MI for senior management.
• Conduct monitoring reviews from the Compliance Monitoring Plan.

Skills

LME knowledge

Surveillance experience

Regulatory awareness

Education

Bachelor's degree in a related field

Tools

NASDAQ Smarts

Job description

Compliance Professionals is seeking a Surveillance Associate for a City-based brokerage with global reach to strengthen its surveillance and regulatory compliance capabilities. You will review surveillance alerts across firm and client trading, analyse e-communications, and document findings for management.

Ideal candidates will have strong LME knowledge, experience with market abuse surveillance, and familiarity with exchange rules.