Trade Surveillance Analyst

3 weeks ago

London, United Kingdom Canaccord Genuity UK Full time

 

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.

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