Trade Surveillance Analyst

3 days ago

London, Greater London, United Kingdom Canaccord Genuity Group Inc. Full time
Summary/Job Purpose

The Trade Surveillance Analyst will play a crucial role in monitoring trading activities to ensure compliance with regulatory requirements and internal policies.

The ideal candidate will possess a strong understanding of financial markets, regulations, and trading practices.

Role Responsibilities

Continuously monitor real-time and historical trading data to detect unusual or suspicious trading patterns.

Use surveillance systems and analytical tools to identify potential cases of market abuse, such as insider trading, spoofing, front-running, wash trades, and other manipulative practices.


Analyse large volumes of trade data to identify trends, patterns, and potential anomalies that could indicate market abuse.

Develop and utilise statistical models and algorithms to assess the probability of market abuse.

Investigate alerts generated by surveillance systems to determine if there is sufficient evidence of market abuse.

Document investigation findings and prepare detailed reports for internal stakeholders or regulatory authorities.

Escalate confirmed cases of market abuse to compliance or legal teams, providing supporting evidence and analysis.

Work closely with compliance and legal departments to ensure that surveillance activities comply with regulatory requirements.

Assist with internal investigations and regulatory inquiries, providing necessary information and context.

Stay informed about regulatory developments and changes in market abuse laws and regulations, such as those from the SEC, FINRA, FCA, ESMA, etc.


Ensure that surveillance activities align with current regulations and industry best practices.

Collaborate with IT and technology teams to develop, implement, and maintain trade surveillance systems and tools.

Provide feedback on system performance and suggest improvements to enhance surveillance capabilities.

Train and mentor junior team members in trade surveillance techniques, tools, and regulatory requirements.

Participate in training sessions and industry conferences to stay updated on best practices and emerging trends.

Maintain thorough records of surveillance activities, investigations, and outcomes.

Ensure compliance with record-keeping requirements set by regulatory bodies.

Our ideal candidate

1-2 years' experience in a similar role

Excellent Excel, PowerPoint and Word Skills.

Knowledge of Fidessa would be advantageous

Upholds and promotes high ethical and compliance standards including integrity, honesty and fair dealing.

Excellent understanding of relevant policies and regulations, particularly relating to Market Abuse, Anti-Money Laundering and Financial Crime.

Highly numerate.

Strong communication skills both written and verbally

Excellent attention to detail.

Highly organised and reliable, self-starter, motivated and ambitious.

Team player capable of fitting in with the culture.

Canaccord Genuity Limited aim to promote an environment free from discrimination, harassment and victimisation where everyone receives equal treatment regardless of age, colour, disability, gender, race, sexual orientation, hours of work, marital status, national origin, political opinions or religious beliefs.

All decisions on employment practices are objective, free from bias and based upon work criteria and individual merit.

To monitor the effectiveness of our efforts in regards to offering equal opportunities, we would be grateful if you would provide the relevant information requested on the application form.

The information requested will be detached by us upon receipt of your application and will not be used during the selection process.

Location:

London

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