Surveillance Associate (LME)

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

THE COMPANY:

Our client is a leading world-wide broker; they are based in the City with a Global presence. They are looking for Surveillance Associate with strong knowledge and experience of the LME.

THE RESPONSIBILITIES:

• Reviewing and analysing surveillance alerts and/or reports relating to firm and client trading activity
• Reviewing and analysing e-communication surveillance alerts and/or reports
• Properly documenting the review and resolution of the exceptions as well as escalating matters appropriately
• Communicating surveillance findings to management in a clear and concise manner
• Assisting with trade surveillance alert calibration assessments
• Assisting in the Firm’s response to enquiries received from exchanges and regulators.
• Preparing relevant MI for senior management
• Conducting monitoring reviews from the Compliance Monitoring Plan

EXPERIENCE REQUIRED:

• Strong knowledge and experience of the LME contract characteristics and market structure, including LME rules and regulations.
• Experience of reviewing and processing automated surveillance alerts (NASDAQ Smarts beneficial) relating to market abuse and financial crime risks, including clear and concise escalations
• Understanding of key exchange principles and rules relating to trade negotiation, execution and off-order book transactions.
• Clear understanding of Market Abuse Regulation and how it is relevant to an LME and commodity derivatives broker.

For further information please contact Hannah Tabatabai