Trade Surveillance Officer

4 weeks ago

London, United Kingdom cer Financial Full time €70,000

Trade Surveillance Officer
City of London / Hybrid
Permanent
Up to £70,000

cer Financial are working alongside a financial advisor who are based in the City of London. They are seeking a Trade Surveillance Officer to work with them on a permanent basis.

The Responsibilities of a Trade Surveillance Officer Will Include:

  • Continuous monitoring of market activity in real-time through internal systems, including the 'Activity Monitor,' to track all trades, orders, and messaging volumes.
  • Conduct timely analysis of alerts escalated by the Scila surveillance tool to identify and prevent market or firm-damaging misconduct.
  • Perform ad-hoc reviews and screening of trading activity, analysing complex situations, identifying high-risk behaviours, and efficiently resolving issues.
  • Analyse trading strategies and implement enhanced monitoring processes.
  • Utilise the firm's internal visualisation tools effectively, including Microscope (orderbook ladders, graphs), Risk Monitor (orderbook ladders, star of day positions, P&L), Activity Monitor (orders, trades, messaging volumes), Matching Trades Analyser (identifying collusion/wash trading), and Insider Dealing Event Tracker.
  • Document and provide evidence of surveillance analysis within Compliance Surveillance Actions folders to facilitate decision-making regarding alert closure or identification of suspicious patterns.
  • Analyse and prepare surveillance issues for recommendation and subsequent escalation to the Head of Compliance.
  • Collaborate with Technology teams and/or vendors to develop new tools and surveillance controls.
  • Oversee inquiries from external entities, including clearing members, and assume a leadership role in addressing regulator and exchange inquiries.
  • Develop expertise required to contribute to the firm's market surveillance-related workstreams.
  • Calibration of new and existing Scila surveillance alert parameters for testing before implementation and document the testing outcomes.
  • Develop specific Scila surveillance alerts tailored to different asset classes.
  • Assume responsibility for executing new alerts on historical trading data to identify potential patterns of market abuse.
  • Take ownership of allocated surveillance projects, collaborating with Compliance and broader operational teams as necessary.
  • Generate meaningful Management Information from Scila and other sources on a weekly basis.
  • Participate in the preparation of the Compliance Board Pack.
  • Maintain the Risk Register encompassing all surveillance matters and the Enhanced Monitoring List.
  • Knowledge of algorithms is desirable, including participation in algorithm demos and understanding trading strategies.
  • Comprehend algorithmic trading strategies and ascertain their compliance with exchange rules.
  • Possess a sold understanding of exchange regulations.
  • Conduct surveillance on market making, liquidity provision, and volume creation strategies, cross-referencing exchange-completed forms, and databases to identify traders or groups participating and to detect potential instances of collusive behaviour or market abuse.
  • Evaluate personal account dealing confirmations in comparison to traders’ trading account activities.

The Successful Trade Surveillance Officer Will Have:

  • Compile and evaluate documentation for internal investigations.
  • Address and retrieve data for regulatory inquiries from entities such as the UK Financial Conduct Authority (FCA) or other pertinent regulatory bodies.
  • Offer input on STOR recommendations regarding surveillance information for assessment.
  • Assist in the preparation of STORS for submission to the FCA.
  • Collaborate with Business Units, Legal, and Compliance Coverage teams to respond to regulatory inquiries as required.

Fields marked with an asterisk (*) are required

First name required

Last name required

Your CV required

Your file must be a .doc, .pdf, .docx, or .rtf. No larger than 1MB

Drag and drop

Choose a file

Save my CV for future job applications and share with recruiters to headhunt me for new roles

Are you legally authorised to work in the UK full time without restriction? required

Yes

No

Email me similar jobs when they become available

Your communication preferences

Yes please, I'd like to receive emails about jobs and services from CareersinAudit.com.

Where did you hear about us from? required

We do not share your information with third parties for marketing purposes. All emails will contain a link in the footer to enable you to unsubscribe at any time. When you apply for a job we will send your application to the named recruiter, who may contact you. By applying for a job listed on CareersinAudit.com you agree to our terms and conditions and privacy policy . You should never be required to provide bank account details. If you are, please contact us .

Get job alerts

Create a job alert and receive personalised job recommendations straight to your inbox.

#J-18808-Ljbffr

  • Trade Surveillance Officer

    2 weeks ago

    London, Greater London, United Kingdom cer Financial Full time

    Trade Surveillance Officer City of London / Hybrid Permanent Up to £70,000 cer Financial are working alongside a financial advisor who are based in the City of London. They are seeking a Trade Surveillance Officer to work with them on a permanent basis. The Responsibilities of a Trade Surveillance Officer Will Include:Continuous monitoring of market...

  • Trade Surveillance Officer

    3 weeks ago

    London, Greater London, United Kingdom cer Financial Full time

    Trade Surveillance Officer City of London / Hybrid Permanent Up to £70,000 cer Financial are working alongside a financial advisor who are based in the City of London. They are seeking a Trade Surveillance Officer to work with them on a permanent basis. The Responsibilities of a Trade Surveillance Officer Will Include:Continuous monitoring of market...

  • Trade Surveillance Officer

    4 weeks ago

    London, Greater London, United Kingdom cer Financial Full time

    Trade Surveillance OfficerCity of London / HybridPermanentUp to £70,000cer Financial are working alongside a financial advisor who are based in the City of London. They are seeking a Trade Surveillance Officer to work with them on a permanent basis.The Responsibilities of a Trade Surveillance Officer Will Include:· Continuous monitoring of market activity...

  • Trade Surveillance Officer

    1 month ago

    London, Greater London, United Kingdom cer Financial Full time

    Trade Surveillance OfficerCity of London / HybridPermanentUp to £70,000cer Financial are working alongside a financial advisor who are based in the City of London. They are seeking a Trade Surveillance Officer to work with them on a permanent basis.The Responsibilities of a Trade Surveillance Officer Will Include:· Continuous monitoring of market activity...

  • Trade Surveillance Officer

    4 weeks ago

    London, United Kingdom cer Financial Full time €70,000

    Trade Surveillance Officer City of London / Hybrid Permanent Up to £70,000 cer Financial are working alongside a financial advisor who are based in the City of London. They are seeking a Trade Surveillance Officer to work with them on a permanent basis. The Responsibilities of a Trade Surveillance Officer Will Include: Continuous monitoring of market...

  • Trade Surveillance Officer

    4 weeks ago

    London, United Kingdom cer Financial Full time €70,000

    Trade Surveillance Officer City of London / Hybrid Permanent Up to £70,000 cer Financial are working alongside a financial advisor who are based in the City of London. They are seeking a Trade Surveillance Officer to work with them on a permanent basis. The Responsibilities of a Trade Surveillance Officer Will Include: Continuous monitoring of market...

  • Trade Surveillance Officer

    4 weeks ago

    London, United Kingdom cer Financial Full time

    Trade Surveillance Officer City of London / Hybrid Permanent Up to £70,000 cer Financial are working alongside a financial advisor who are based in the City of London. They are seeking a Trade Surveillance Officer to work with them on a permanent basis. The Responsibilities of a Trade Surveillance Officer Will Include: Continuous monitoring of market...

  • Trade Surveillance Officer

    1 month ago

    London, Greater London, United Kingdom NatWest Group Full time

    Join us as a Trade Surveillance OfficerWe'll look to you to be responsible for the monitoring of and handling escalations arising from trade surveillance activities for our Natwest Holdings businesses through alert reviews to ensure compliance with market abuse and relevant market conduct policiesYou'll be seen as a surveillance subject matter expert, as you...

  • Trade Surveillance Officer

    4 weeks ago

    London, United Kingdom Centrica Full time

    Centrica Energy Marketing & Trading (EM&T) is the trading arm of Centrica. We trade LNG, gas, power and energy attributes - and connect independent producers, suppliers and corporate off-takers in the wholesale energy markets. We are recruiting for a Trade Surveillance Officer who will work closely within our Ethics & Compliance team to perform monitoring...

  • Trade Surveillance

    2 weeks ago

    London, United Kingdom Barclay Simpson Full time

    **Trade Surveillance**: - London - £60,000 - £70,000 - Sector: Banking, Financial Services - Job reference: NE40108 My client is a global trading firm. They are looking to hire a trade surveillance compliance officer to join their team. This is an amazing career opportunity for a junior compliance officer to join a fantastic firm. The role will...

  • Trade Surveillance Officer

    3 months ago

    London, United Kingdom Jameson Legal Full time

    An opportunity has arisen to work with an international trading firm operating on London's global markets. They are seeking compliance professionals with a background in compliance/monitoring who are familiar with forms of market abuse. This opportunitywill provide exposure to the broader compliance requirements within a trading business as there will be...

  • Trade Surveillance Officer

    3 months ago

    London, United Kingdom eFinancialCareers Full time

    An opportunity has arisen to work with an international trading firm operating on London's global markets. They are seeking compliance professionals with a background in compliance/monitoring who are familiar with forms of market abuse. This opportunitywill provide exposure to the broader compliance requirements within a trading business as there will be...

  • Trade Surveillance Officer

    1 month ago

    London, United Kingdom Alexander Mann Solutions (Contingent) Full time

    Our client, a major UK retail bank, provides every day banking services to over 17 million retail customers. The banks expertise and services span across Business Services, Corporate banking, Wealth Management, Group Functions, Retail and Investment Banking. On behalf of this organisation, AMS are looking for a Trade Surveillance Officer for a 6 Month ...

  • Trade Surveillance Officer

    1 month ago

    London, United Kingdom Alexander Mann Solutions (Contingent) Full time

    Our client, a major UK retail bank, provides every day banking services to over 17 million retail customers. The banks expertise and services span across Business Services, Corporate banking, Wealth Management, Group Functions, Retail and Investment Banking. On behalf of this organisation, AMS are looking for a Trade Surveillance Officer for a 6 Month...

  • Trade Surveillance Officer

    1 week ago

    London, Greater London, United Kingdom Alexander Mann Solutions (Contingent) Full time

    Our client, a major UK retail bank, provides every day banking services to over 17 million retail customers. The banks expertise and services span across Business Services, Corporate banking, Wealth Management, Group Functions, Retail and Investment Banking. On behalf of this organisation, AMS are looking for a Trade Surveillance Officer for a 6 Month ...

  • Trade Surveillance Officer

    3 weeks ago

    London, United Kingdom AMS Contingent Full time

    We protect the integrity and reputation of the bank by managing legal risk to make transactions viable and safe. We advise on ethical conduct and identify regulatory solutions. We promote and foster lawful and ethical business through a true partnershipwith the business. We are AMS, a global total workforce solutions firm enabling organisations to thrive in...

  • Trade Surveillance Officer

    2 months ago

    London, United Kingdom MERJE Ltd Full time

    MERJE are partnered with a market leading trading business who are looking for a Trade Surveillance Officer to join their team. **Responsibilities**: - Operate under a high degree of regulatory scrutiny from regulators and exchanges in the wholesale traded markets in areas such as REMIT, EMIR, MAR, MiFID II and exchange/trading venue rules - The role will...

  • Trade Surveillance Officer

    1 week ago

    London, Greater London, United Kingdom eFinancialCareers Full time

    We are AMS, a global total workforce solutions firm enabling organisations to thrive in an age of constant change by building, re-shaping, and optimising workforces. Our Contingent Workforce Solutions (CWS) service acts as an extension of our clients' recruitmentteam and provides professional interim solutions and temporary resources.Our client, Deutsche...

  • Trade Surveillance Officer

    2 months ago

    London, United Kingdom Britannia Global Markets Limited Full time

    J- Posted by - James Butt- Recruiter**Company Background** Britannia Financial Group is a global financial group offering banking, securities and investment management services, providing a wide range of bespoke financial services to a substantial and diversified client base that includes corporations, financial institutions, and individuals. With more...

  • Trade Surveillance Officer

    4 weeks ago

    London, United Kingdom Britannia Global Markets Limited Full time

    J- Posted by - James Butt- Recruiter**Company Background** Britannia Financial Group is a global financial group offering banking, securities and investment management services, providing a wide range of bespoke financial services to a substantial and diversified client base that includes corporations, financial institutions, and individuals. With more...