Trade Surveillance / Compliance Monitoring Analyst

Taylor James Resourcing; London; On-site; GBP 33,000 - 35,000; Full time

Job summary

Une entreprise de courtage financier mondial recherche un Client Onboarding KYC Associate basé à Londres. Ce poste exige une expertise en surveillance de trading et conformité avec un salaire compétitif de £33,000 à £35,000 par an. Le candidat retenu effectuera une analyse des données, identifiera des anomalies dans le trading et participera à des enquêtes critiques.

Qualifications

• Expérience de 12 mois en conformité/surveillance des échanges.
• Compétences analytiques pour la gestion des données.
• Compréhension des risques réglementaires liés à la manipulation du marché.

Responsibilities

• Assister dans les processus de surveillance et de conformité des échanges.
• Analyser les données de trading et préparer des rapports quotidiens.
• Identifier les violations potentielles et participer à des enquêtes formelles.

Skills

Data analysis

Compliance awareness

Market surveillance

Job description

Quick Registration: First Name *, Last Name *, e-mail *, Phone *, Sector, Location

Our client is a Global Financial Broking firm in London.

Position: Client Onboarding KYC Associate. 5 days a week in London.

Additional roles include: Administration Assistant – Financial Services.

Our clients include a Financial Market making company and a Wealth and Asset Management firm.

Date: 17 Jul 2024
Sector: FINANCIAL MARKETS
Type: Permanent
Location: London
Salary: £33,000 - 35,000 per annum
Email: [e-mail]
Ref: db0374723

We are seeking a candidate with 12 months Compliance / Trade Monitoring Surveillance experience to join a Trading Surveillance team.

The main responsibilities include:
- Assisting in market surveillance and monitoring processes of trading derivatives.
- Data handling and analysis.
- Trade surveillance of Derivatives trading, including Energy Contracts, Commodities, and other financial instruments.
- Awareness of regulatory risks related to Market Abuse and Trade Surveillance.
- Understanding trading strategies and identifying anomalous activity.
- Preparing daily reports analyzing trading patterns.
- Assisting in formal investigations.
- Data analysis for ad hoc projects.

Additional duties involve:
- Monitoring communication platforms.
- Trade reconstruction and investigation.
- Identifying and escalating potential Regulatory and Exchange breaches.
- Incident resolution, including detection and investigation of breaches.
- Addressing Fraud and Market Manipulation, including Wash Trades.
- Ensuring compliance with Regulatory Rules.
- Documenting policies and procedures.
- Reporting findings in weekly Compliance meetings and monthly reports to directors.
- Participating in monthly meetings with directors.
- Assisting with regulatory and exchange queries.