Trade Surveillance Analyst

2 weeks ago

London, United Kingdom CMC Markets Remote Work Freelance Full time

We are currently looking to recruit a Trade Surveillance Analyst on a 6 month fixed term contract.

Within the role you will be assisting the Financial Crime Manager (Pillar 1) in trade surveillance reviews, investigations, and reporting of STORs.

*** Please note that this role is onsite and would require 5 days per week in our London office near Liverpool Street. ***

ROLE AND RESPONSIBILITIES

  • Initial review of Market Abuse Regulation (MAR) alerts generated by internal suspicious trading activity reports
  • Detection and monitoring of unusual transactions uncharacteristic and suspicious transactions
  • Investigate suspicious or 'redflag’ characteristics that potentially indicate reportable activity
  • Identifying, investigating and report client trading activity whose trading style is suspicious
  • Reporting Filing Suspicious Transaction and Order Reports (STORs) to the FCA as agreed with your Manager
  • Filing Suspicious Activity Reports (SARs) to NCA within the timelines as agreed with your Manager
  • Handling of all follow up enquiries and information requests from authorities as agreed with your Manager
  • Monitoring on a T+1 basis of all clients’ trading activity in line with transaction monitoring manual
  • Assist with the design, implementation, and thereafter review of, monitoring alerts for new products as introduced by the business and outside of the existing suite of monitoring reports
  • Advise on refinements to existing trade surveillance reports, according to industry best practice guidance
  • Potential for review and updating of trade surveillance manuals and procedure documentation
  • Checking all trades manually entered on clients’ accounts by CMC Markets employees
  • Help to identify new ways clients can take advantage of our platform and helping to establish new controls to stop this from happening
  • Potential for financial crime system and report development and implementation
  • Monitoring trades to ensure that these are being processed in line with our Best Execution obligations
  • Assisting with other areas of Trade Surveillance and Financial Crime Compliance as required
  • When dealing with all clients, colleagues and authorities, ensure that we provide a clear, fair and consistent high-quality service that presents a professional and positive image of CMC Markets
  • Take all reasonable steps to ensure appropriate confidentiality
  • Undertake such other duties, training and/or hours of work as may be reasonably required, and which are consistent with the general level of responsibility of this role and the tasks listed above role

KEY SKILLS AND EXPERIENCE

  • Hands on practical experience working in trade surveillance
  • Practical experience in filing Suspicious Transaction and Order Reports (STORs)
  • Knowledge of, and experience in, equities (equity derivatives and/or futures and options an advantage)
  • Accuracy and clarity when reporting or responding to authorities (FCA, NCA and UK Police Forces)
  • Practical experience in filing Suspicious Activity Reports (SARs)
  • Experience in responding to Requests for Information from authorities (FCA, NCA and UK Police Forces)
  • Knowledge of trading systems and trade surveillance systems (One Tick an advantage)
  • Excellent attention to detail and numeracy skills
  • Ability to identify and establish new controls to mitigate financial crime and move the department forward
  • Ability to make quick decisions and to prioritise workloads
  • Strong ability to communicate and build rapport with other departments
  • Adaptable and resilient in the face of changing priorities with a 'can do attitude’

CMC Markets is an equal opportunities employer and positively encourages applications from suitably qualified and eligible candidates regardless of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age.

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