Trade Surveillance Analyst

Britannia Global Markets Limited

Greater London

On-site

GBP 100,000 - 125,000

Full time

14 days+

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Job summary

A leading financial services firm in London seeks a Surveillance Analyst to monitor trading activities and ensure compliance with regulations. The role requires strong analytical skills, attention to detail, and experience with surveillance systems. Join a dynamic team dedicated to maintaining market integrity and enhancing compliance efforts.

Qualifications

Experience in a financial markets role and understanding of FCA’s MAR required.
Demonstrable experience with Trade Surveillance systems and Alerts required.

Responsibilities

Investigate and dispose of market abuse and communications surveillance alerts.
Assist in client investigations and provide analysis to the Head of Compliance.

Skills

Data Analysis

Attention to Detail

Communication

Tools

Microsoft Excel

Microsoft PowerPoint

Job description

Direct message the job poster from Britannia Global Markets Limited

Britannia Global Markets provides a wide range of bespoke financial services to a substantial and diversified client base that includes corporations, financial institutions, and individuals. With more than 120 years of banking tradition, the group is headquartered in the City of London and maintains offices in major financial centres around the world.

Key Responsibilities:

Timely and accurate investigation and disposition of market abuse and communications surveillance alerts and reports
Identification and escalation of potentially suspicious order, trade and communications activity
Conducting ad hoc reviews and analysis of client activity to identify potentially suspicious activity and/or patterns or repeated activity
Carry out daily reviews (on T+1) for Client and Desk Order Flow, monitoring total message counts and ratios, ensuring any potential Exchange breaches are reviewed and averted
Assist in ongoing client investigations and ‘Enhanced Client Monitoring’, providing analysis and reports to the Head of Compliance
Assist in responding to requests for information from Regulators, Exchanges and external Counterparties.
Assist in alert calibration testing for new and existing alert types, ensuring any proposed changes/enhancements to alerts are delivered as expected.
Assist in maintenance of procedure manuals as and when required.
Developing an understanding in Britannia Global Markets’ new and existing products and services in order to assist in the ongoing assessment of the firm’s market abuses risks
Participating in other compliance projects and work as required by the Head of Compliance

Required Knowledge and Level of Experience:

Experience in a financial markets role and an understanding of FCA’s MAR (Required)
Demonstrable experience working with Trade Surveillance systems and Alerts (Required)
Experience working with Communication Surveillance systems and alerts and investigating associated conduct issues is desirable, but not essential
Experience of compliance monitoring of trading desks is desirable, but not essential.
Good understanding of futures and options and commodity derivatives is desirable, but not essential
Excellent data analysis and interpretation skills
Ability to quickly grasp an understanding of alert triggers and trading behaviour
Attention to detail and accuracy essential
Ability to draft reports in a concise, professional, and succinct manner
Strong written and verbal communication and inter-personal skills
Conversant with all Microsoft Office applications particularly Excel and PowerPoint

Seniority level