Monitoring & Surveillance Analyst

2 weeks ago

City of London, United Kingdom Tradition (UK) Limited Full time

Tradition is the interdealer broking arm of Compagnie Financière Tradition and one of the world's largest interdealer brokers in over-the-counter financial and commodity related products.

CFT is represented in over 28 countries, employing over 2,500 people.

Tradition's goal is to provide superior client services. It believes its business success is a direct reflection of its employees and recruits.

As such, teamwork, creativity, reliability and integrity are components of a work ethic taken very seriously sincethe company was founded in 1959.


Tradition is currently seeking to appoint a Monitoring & Surveillance Analystbased in London.

Main responsibilities within the Monitoring &Surveillance Analystposition include:

  • Market Abuse monitoring and Trade Surveillance using Scila and LiquidMetrix Surveillance Tools
  • Provision of relevant compliance advise to the Front Office/Business
  • Collaborate with FORC in support of the Front Office/Business, including training
  • Phone and electronic communications monitoring
  • Best Execution monitoring


 Benchmark Analysis
  • WMBA/LEBA Monthly Reports
  • Registration of Traders on EUREX, CME, ICE and DMA via ABN AMRO clearing
  • PA Dealing
  • Reviews of conflicts of interests
  • Complaints management
  • Maintenance of Complaints and Breaches records
  • Undertaking reviews of policies and procedures in accordance with the Compliance Monitoring Plan.
  • Oversight of Staff regulatory registrations both in the UK and overseas as necessary
  • As required, assistance in review of transaction and trade reporting processes
  • Preparation of Quarterly Management Reporting
  • Set up of tapes for trade queries
  • Liaison with other departments as required
  • Project management as required
  • Documentation management
  • Analysis of trading information and data
  • Appreciation of Compliance Risk
  • General Compliance Administration duties
  • Some overseas travel may be required
  • Support team colleagues when they are absent

Key skills, experience and competencies required in this role:

  • Good knowledge of the FCA rules, in particular COBS, SYSC, SUP and FIT
  • Understanding of European Directives and other regulatory rules
  • Knowledge of the firms' products including cash equities and securities, equity and commodity derivatives and money markets
  • Knowledge of cash and derivatives exchange rules e.g. Euronext, Eurex, LSE
  • Experience of dealing with formal documentation
  • Ability to read and understand regulatory rules, consultation papers and legal documents

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