Trade Surveillance Assistant Manager

4 weeks ago

London Area, United Kingdom Lorien Full time

Trade Surveillance – Assistant Manager:


We are looking for an experienced professional to join our Market Abuse Trade Surveillance team. With a wide and varying portfolio of projects within market abuse, this is an exciting opportunity to be part of a growing, market leading team.


Responsibilities :

• We require the individual to support technical client projects and support internal business development as well as thought leadership relating to market abuse

• Be able to assist our clients with the delivery of engagements and advise them on industry practices relating to trade surveillance and market abuse controls

• Keeping abreast of latest trends, cases and new developments in market abuse

• Taking steps to develop as an SME and being able to manage and upskill junior team members


Qualifications & Skills:

• Understanding of trading businesses and the manifestation of market abuse risks, within sell side investment banks

• Good understanding of financial products (cash and derivatives) including the different ways in which market abuse risks can manifest

• Some experience of working within Compliance Surveillance (as either a Consultant or within a Bank). We also welcome candidates from Technology teams with experience of working on third party vendors’ trade surveillance systems implementation or in-house trade surveillance build

• Involvement and / or awareness of model validation of trade surveillance models as well as data quality for Surveillance

• A working understanding of the trade surveillance vendor landscape is preferred, demonstrating awareness of different solutions

• Appreciation of what an effective Surveillance Operating Model and Governance Framework looks like

• Flexibility and agility to contribute in a support role to a broad range of market abuse and surveillance engagements

• Self starter, experienced and motivated Assistant Manager who shows the ability to build excellent client relationships

• Good understanding of key Surveillance policy and procedure documentation

• Good oral / written communication, planning, project management, networking and influencing skills

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