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Market Surveillance Officer

3 months ago

London, Greater London, United Kingdom SIGMA BROKING LIMITED Full time
Job Description

Overview:

You will be joining an established Compliance team located in the City (London) reporting to the Head of Compliance.

The candidate will be involved with performing trade surveillance and monitoring of voice and electronic communications relating to the organisation's trading and broking activities across the UK, US and Dubai.

It is expected that the candidate will spend a minimum of 4 days in the office and will work during UK business hours.

The role will require strong data analytical skills, a core understanding of market abuse regulations and an ability to think critically.

Responsibilities:

Monitoring and closing of market surveillance alerts and electronic communications to identify suspicious behaviour that could be indicative of market abuse, insider trading, financial crime or inappropriate market conduct;

Calibration and tailoring of monitoring systems to ensure that alerts are generated optimally and reduce false positives across trade surveillance and electronic communications systems;

Producing and checking reliable MI on surveillance activity for the Board and governance committees on the market abuse governance and the control framework;

Assisting with the annual market abuse risk assessment (MARA) in line with local regulatory requirements;

Reviewing policies and procedures relating to market abuse and electronic communications.

Track attendant actions arising from the Board and governance meetings or other ad-hoc meetings or audits;

Preparing training material for staff relating to market abuse, market conduct and financial crime.

Assisting with technical enhancements relating to compliance monitoring software (e.g. trade surveillance);

Implementing system changes arising from changes to applicable regulations, guidance or best practice relating to market abuse, financial crime or market conduct.

Escalating and investigating exceptions and incidents arising from market abuse and electronic communications monitoring.

Prepare material relating to STOR or SAR notifications to regulators, or analogous notifications to exchanges.

Personal skills:

· Working with relevant stakeholders to investigate and resolve exceptions arising from compliance monitoring.

· Ability to multi-task and work independently and reliably.

· Articulating findings in a clear and concise manner.

· Demonstrating perseverance and tenacity to get the job done.

Requirements:

· A graduate with good academic qualifications, preferably with a STEMS degree.

· Experience of having worked in market surveillance or monitoring function preferred.

· Interest in financial markets, data analysis, and compliance.

· Willingness to learn about the technical aspects of market surveillance.

· Team player, ability to work flexibly and tenacity.

· Strong report writing and documentation skills.

· Languages - English – must be fluent, written and spoken

No agencies please