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Trade Surveillance Analyst
Compliance Professionals
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Trade Surveillance Analyst
Zusammenfassung
A global brokerage firm is seeking a Trade Surveillance Analyst in London. The ideal candidate must have over a year of experience in a similar role, strong attention to detail, and organizational skills. Responsibilities include monitoring broker communications, conducting trade investigations, and assisting with regulatory queries. This position requires candidates to work in the office 5 days a week and offers an opportunity to contribute to compliance and risk assessment efforts.
Qualifikationen
- 1 year+ experience in a trade surveillance or similar role at an investment firm, brokerage or bank.
- Self-motivated and able to work in the office 5 days per week.
- Ability to work effectively within a team environment.
Aufgaben
- Monitoring broker communications for potential misconduct.
- Conduct trade investigations and produce reports.
- Assist with regulatory queries and prepare management reports.
Kenntnisse
A leading global brokerage firm specializing in derivatives is seeking a Trade Surveillance Analyst. The ideal candidate will have some e-comm and trade surveillance experience, be highly organised, with strong attention to detail and accuracy, as well as strong numeracy skills.
- Monitoring of broker communications (voice and email/chat) for any potential misconduct;
- Trade reconstructions;
- Trade investigations;
- Identify and escape any potential regulatory and exchange breaches;
- Incident resolution – detect and investigate potential breaches relating to the following:
- Insider dealing and market manipulation including wash trades;
- Regulatory rule breaches; and
- Company policies and procedures
- Produce reports on any findings at weekly Compliance meetings;
- Prepare management information reports for quarterly board Meeting
- Assist with regulatory and/or exchange queries relating to orders and trades.
- Assist with the preparation of the Market Abuse Risk Assessment.
- Conduct regular training sessions for relevant stakeholders (IT, HR, Brokers, Compliance);
- Liaise and assist brokers in understanding good practice; and
- On desk advisory function
- Monitor industry development and trends including exchange circulars;
- Identify gaps in the firms monitoring and surveillance policies.
- Assisting with implementing or upgrading software systems for monitoring and surveillance;
- Identify systems and controls failings and implement remedial action;
- Liaise with IT to ensure adherence to control checks;
- Monitor effectiveness of policies and procedures; and
- Additional / ad hoc duties as required to meet the needs of the business.
- Must be able to work in the office 5 days per week
- 1 year+ experience in a trade surveillance or similar role at an investment firm, brokerage or bank;
- Self-motivated;
- Highly organised;
- Strong attention to detail and accuracy;
- Highly numerate and articulate;
- Strong problem-solving skills;
- Ability to work effectively within a team environment;
- Strong IT skills (in Word, Outlook, Excel, and able to learn new systems quickly)
For further information please contact Hannah Tabatabai
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