Trade Surveillance Manager
1 month ago
Join us as a Trade Surveillance Manager
We'll look to you to be responsible for the monitoring of and handling escalations arising from trade surveillance activities for our Natwest Holdings businesses through alert reviews to ensure compliance with market abuse and relevant market conduct policiesYou'll be seen as a surveillance subject matter expert, as you assist in providing in-depth analysis of alerts, including the use of market data, source system data, and market dataYou'll be a managing a small pool of surveillance analysts and overseeing their work to ensure compliance with surveillance operating standardsAs a key member of our team, you'll enjoy extensive collaboration and can expect great visibility for you and your workOur team operates within a hybrid working model, so you'll spend most of your week at home, working with your team digitally and coming into the office some of the time to collaborate closely with your colleaguesWhat you'll doAs a Trade Surveillance Manager, you'll be monitoring trading activities and handling escalated cases to ensure adherence with policies and procedures, in line with regulationsYou'll be identifying potential or actual emerging risks and driving control enhancements to make sure that surveillance activities operate efficiently and provide appropriate risk mitigation.
You'll also be:
Contributing to the improvement of existing surveillance systems as well as assisting in driving new technological solutionsSupporting the development and implementation of an annual surveillance programme of workMaking judgements on whether alerts are potentially concerningKeeping up to date with changing regulations and policiesCollating data sources for the provision of meaningful management information and documentation for regulatory and business reportingDeveloping junior analysts in market abuse surveillance and financial markets understanding and providing them with regular feedback to develop their surveillance skills and financial market knowledgeLiaising with a wide range of stakeholders including vendors, Compliance IT and other members of surveillanceThe skills you'll need We're looking for someone with experience of market abuse surveillance, financial markets and financial services businesses, including buyside and Treasury .You'll need a strong technical and analytical ability, coupled with a familiarity with equities and fixed income markets regulation, electronic trading concepts and risks. You'll also have good stakeholder and people management skills which are required for the role.
In addition, you'll need:
The ability to apply a technical understanding to data in order to solve complex problemsKnowledge of trading process and productsExperience of sourcing and assessing multiple data and information points to help make risk-based decisions and solutionsExcellent logical, analytical skills and attention to detailAn understanding of how to work with colleagues at all levelsGood listening and influencing skills and the ability to leadWe have other current jobs related to this field that you can find below
-
Trade Surveillance
1 week ago
London, Greater London, United Kingdom Danos Group Full timeOur client, a global cryptocurrency firm, are looking for trade surveillance professionals to support their UK team. This is ideal for someone with trade and communications surveillance experience who has used both the Validus and Smartz systems. This will be a fully remote contract which will be looking to start in around a months time.Key...
-
Trade Surveillance Officer
1 week ago
London, Greater London, United Kingdom cer Financial Full timeTrade Surveillance Officer City of London / Hybrid Permanent Up to £70,000 cer Financial are working alongside a financial advisor who are based in the City of London. They are seeking a Trade Surveillance Officer to work with them on a permanent basis. The Responsibilities of a Trade Surveillance Officer Will Include:Continuous monitoring of market...
-
Trade Surveillance Officer
3 weeks ago
London, Greater London, United Kingdom cer Financial Full timeTrade Surveillance Officer City of London / Hybrid Permanent Up to £70,000 cer Financial are working alongside a financial advisor who are based in the City of London. They are seeking a Trade Surveillance Officer to work with them on a permanent basis. The Responsibilities of a Trade Surveillance Officer Will Include:Continuous monitoring of market...
-
Trade Surveillance Officer
4 weeks ago
London, Greater London, United Kingdom cer Financial Full timeTrade Surveillance OfficerCity of London / HybridPermanentUp to £70,000cer Financial are working alongside a financial advisor who are based in the City of London. They are seeking a Trade Surveillance Officer to work with them on a permanent basis.The Responsibilities of a Trade Surveillance Officer Will Include:· Continuous monitoring of market activity...
-
Trade Surveillance Officer
1 month ago
London, Greater London, United Kingdom cer Financial Full timeTrade Surveillance OfficerCity of London / HybridPermanentUp to £70,000cer Financial are working alongside a financial advisor who are based in the City of London. They are seeking a Trade Surveillance Officer to work with them on a permanent basis.The Responsibilities of a Trade Surveillance Officer Will Include:· Continuous monitoring of market activity...
-
VP Trade Surveillance
1 week ago
London, Greater London, United Kingdom Jacobson Garner Full timeJob DescriptionA leading global financial services firm renowned for our unwavering commitment to innovation, integrity, and excellence. An extensive portfolio of services encompasses a broad range of financial products and solutions, catering to an international clientele. As part of their ongoing expansion, they are seeking a highly skilled and experienced...
-
VP Trade Surveillance
1 week ago
London, Greater London, United Kingdom Jacobson Garner Full timeA leading global financial services firm renowned for our unwavering commitment to innovation, integrity, and excellence. An extensive portfolio of services encompasses a broad range of financial products and solutions, catering to an international clientele. As part of their ongoing expansion, they are seeking a highly skilled and experienced VP Trade...
-
Trade Surveillance Officer
1 month ago
London, Greater London, United Kingdom NatWest Group Full timeJoin us as a Trade Surveillance OfficerWe'll look to you to be responsible for the monitoring of and handling escalations arising from trade surveillance activities for our Natwest Holdings businesses through alert reviews to ensure compliance with market abuse and relevant market conduct policiesYou'll be seen as a surveillance subject matter expert, as you...
-
Trade Surveillance Analyst
1 week ago
London, Greater London, United Kingdom eFinancialCareers Full timeAn exciting opportunity has arisen with an international (multi product) Broker/Trading business, who are looking for someone to join their Compliance team, in a broad and generalist compliance role based in London.We are looking for someone with trade surveillance experience, that is keen to continue developing their compliance career. The firm requires an...
-
Trade Surveillance Analyst
3 days ago
London, Greater London, United Kingdom Canaccord Genuity Group Inc. Full timeSummary/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...
-
Trade Surveillance Officer
1 week ago
London, Greater London, United Kingdom eFinancialCareers Full timeWe are AMS, a global total workforce solutions firm enabling organisations to thrive in an age of constant change by building, re-shaping, and optimising workforces. Our Contingent Workforce Solutions (CWS) service acts as an extension of our clients' recruitmentteam and provides professional interim solutions and temporary resources.Our client, Deutsche...
-
Trade Surveillance Officer
1 week ago
London, Greater London, United Kingdom Alexander Mann Solutions (Contingent) Full timeOur client, a major UK retail bank, provides every day banking services to over 17 million retail customers. The banks expertise and services span across Business Services, Corporate banking, Wealth Management, Group Functions, Retail and Investment Banking. On behalf of this organisation, AMS are looking for a Trade Surveillance Officer for a 6 Month ...
-
Trade Surveillance
1 week ago
London, Greater London, United Kingdom JPMorgan Chase Bank, N.A. Full timeCorporate - Compliance, Conduct & Operational Risk - Trade Surveillance - Senior AssociateLondon, England, UKAs part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve...
-
Trade Surveillance Officer
1 week ago
London, Greater London, United Kingdom eFinancialCareers Full timeKey responsibilities for this role include:Conducting surveillance activities to identify potential issues related to trading activities, such as market manipulation or insider trading Analyzing trading data to identify patterns and trends that may require further investigation Liaising with internal stakeholders, including traders, compliance teams, and IT...
-
Compliance Trade Surveillance Analyst
1 week ago
London, Greater London, United Kingdom eFinancialCareers Full timeResponsibilities: Monitoring trading activity, using industry recognised solutions Escalating any suspicious activity findings to management and reporting to regulators Participating in thematic reviews Assisting in the enhancement of the surveillance controls and documenting accordingly Participating in exchange / regulatory enquires from a surveillance...
-
Trade Surveillance Officer
1 week ago
London, Greater London, United Kingdom NatWest Group Full timeRisk Oversight & Challenge, Control, Oversight & AssuranceTrade Surveillance Officer- London, United Kingdom- Permanent- Full Time#R
-
Trade Surveillance Consultant
2 months ago
London, Greater London, United Kingdom TEKsystems Full timeTEKsystems is currently engaged with a Tier 1 Investment Bank for a Trade Surveillance Analyst.The ideal Trade Surveillance Consultant will have experience in:Actimize or SMARTSMarket Abuse RegulationsMiddle Office OperationsAny asset class experience would be advantageousHybrid - 2/3 days per week in the London officeInside (Umbrella) daily rate Job Title:...
-
GCOR Trade Surveillance
1 week ago
London, Greater London, United Kingdom Bank of America Full timeJob Description: Job Title: GCOR Trade Surveillance – Strategy Corporate Title: Vice President Location: London or Paris Company Overview: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients,...
-
Associate, Surveillance
1 week ago
London, Greater London, United Kingdom MarketAxess Holdings Full timeCompany DescriptionMarketAxess is on a journey to digitally transform one of the world's largest financial markets, enabling the shift from analog, phone-based trading to a fully electronic marketplace. Why does this matter? Because our platform makes trading fixed-income more accessible, ultimately improving transparency, efficiency, and competition in the...
-
Head of Emea Surveillance
1 week ago
London, Greater London, United Kingdom WELLS FARGO BANK Full timeAbout this role:The EMEA Compliance Surveillance team monitors and analyses the sales, trading and banking activities conducted by Wells Fargo's Corporate & Investment Bank "CIB" and Commercial Banking business groups in EMEA as well as undertaking the surveillance of electronic communications and voice communications across both business lines and...
