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Trade Surveillance Officer
3 months ago
From home working to job sharing, visit the remote and flexible working page on our website to find out more.
This role is based in the United Kingdom and as such all normal working days must be carried out in the United Kingdom.
- You'll play a vital role in undertaking surveillance checks and factfinding reviews to monitor trading activities and ultimately ensure compliance with market conduct policies
- We'll look to you to contribute to improving existing surveillance systems as well as assisting in driving new technological solutions
- You'll have the opportunity to develop your analytical skills, in this collaborative and fastpaced role
What you'll do:
As a Trade Surveillance Officer, you'll be analysing and pursuing potential breaches of policies using the suite of surveillance tools available.
You'll monitor trading and communications activity for market conduct as well as workplace behaviour, client interactions, procedural compliance, price construction and other similar types of conduct risks and behaviours.
Your role will also involve:
- Proactively identifying potential or actual emerging risks and driving control enhancements to make sure that surveillance activities operate efficiently and provide appropriate risk mitigation
- Analysing activity for potential flags and escalating appropriately
- Assisting in providing indepth analysis of alerts, including the use of market data, source system data, and market data
- Supporting the development and implementation of an annual surveillance programme of work that completes on time
- Keeping up to date with changing regulations and policies
The skills you'll need:
We're looking for someone with experience of, or an interest in, financial services businesses including investment banking.
It will be crucial for you to have excellent logical and analytical skills and high levels of attention to detail.
This will be coupled with the ability to source and assess multiple data and information points to help make risk-based decisions and solutionsYou'll also need:
- A familiarity with the equities and fixed income markets regulations, electronic trading concepts and risks
- Knowledge of trading process and products
- To be adaptable to changing market situations, technology and business needs
- Previous involvement in project implementation and representation on relevant work streams
- Knowledge of how to assist in the development of policies and procedures
- The ability to work with colleagues at all levels, with good listening and influencing skills