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Trade Surveillance Officer

4 months ago

London, Greater London, United Kingdom cer Financial Full time
Trade 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 activity in real-time through internal systems, including the 'Activity Monitor,' to track all trades, orders, and messaging volumes.
  • Conduct timely analysis of alerts escalated by the Scila surveillance tool to identify and prevent market or firm-damaging misconduct.
  • Perform ad-hoc reviews and screening of trading activity, analysing complex situations, identifying high-risk behaviours, and efficiently resolving issues.
  • Analyse trading strategies and implement enhanced monitoring processes.
  • Utilise the firm's internal visualisation tools effectively, including Microscope (orderbook ladders, graphs), Risk Monitor (orderbook ladders, star of day positions, P&L), Activity Monitor (orders, trades, messaging volumes), Matching Trades Analyser (identifying collusion/wash trading), and Insider Dealing Event Tracker.
  • Document and provide evidence of surveillance analysis within Compliance Surveillance Actions folders to facilitate decision-making regarding alert closure or identification of suspicious patterns.
  • Analyse and prepare surveillance issues for recommendation and subsequent escalation to the Head of Compliance.
  • Collaborate with Technology teams and/or vendors to develop new tools and surveillance controls.
  • Oversee inquiries from external entities, including clearing members, and assume a leadership role in addressing regulator and exchange inquiries.
  • Develop expertise required to contribute to the firm's market surveillance-related workstreams.
  • Calibration of new and existing Scila surveillance alert parameters for testing before implementation and document the testing outcomes.
  • Develop specific Scila surveillance alerts tailored to different asset classes.
  • Assume responsibility for executing new alerts on historical trading data to identify potential patterns of market abuse.
  • Take ownership of allocated surveillance projects, collaborating with Compliance and broader operational teams as necessary.
  • Generate meaningful Management Information from Scila and other sources on a weekly basis.
  • Participate in the preparation of the Compliance Board Pack.
  • Maintain the Risk Register encompassing all surveillance matters and the Enhanced Monitoring List.
  • Knowledge of algorithms is desirable, including participation in algorithm demos and understanding trading strategies.
  • Comprehend algorithmic trading strategies and ascertain their compliance with exchange rules.
  • Possess a sold understanding of exchange regulations.
  • Conduct surveillance on market making, liquidity provision, and volume creation strategies, cross-referencing exchange-completed forms, and databases to identify traders or groups participating and to detect potential instances of collusive behaviour or market abuse.
  • Evaluate personal account dealing confirmations in comparison to traders' trading account activities.
    The Successful Trade Surveillance Officer Will Have:
    • Compile and evaluate documentation for internal investigations.
    • Address and retrieve data for regulatory inquiries from entities such as the UK Financial Conduct Authority (FCA) or other pertinent regulatory bodies.
    • Offer input on STOR recommendations regarding surveillance information for assessment.
    • Assist in the preparation of STORS for submission to the FCA.
    • Collaborate with Business Units, Legal, and Compliance Coverage teams to respond to regulatory inquiries as required.