Senior Trade Surveillance Analyst

2 weeks ago

London, United Kingdom CMC Markets Full time

We are currently recruiting 3 x Senior Trade Surveillance Analyst's on 6 month fixed term contracts.

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

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

ROLE AND RESPONSIBILITIES

  • Take responsibility for specific trade surveillance alerts as part of the global monitoring on a T+1 basis of all clients’ trading activity in line with the agreed monitoring procedures, as amended from time to time.
  • 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.
  • Assist with the design, implementation, and thereafter review of, CMC hedge trade monitoring alerts.
  • Advise of refinements to existing Trade Surveillance report, according to industry best practice and regulatory guidance.
  • Identifying, investigating and reporting clients to the Financial Crime Manager (Pillar 1) and/or Head of Department, whose individual trades and/or trading style is suspicious and potentially illegal, in breach of CMC Markets’ TOBs or would impact negatively on CMC Markets’ overall revenue.
  • Reporting Filing Suspicious Transaction and Order Reports (STORs) and/or Suspicious Activity Reports (SARs) to the FCA and NCA within the timelines agreed with by Financial Crime Manager (Pillar 1) and/or Head of Department
  • Handling all follow up enquiries and new information requests from the FCA regarding trading activity.
  • Responsible for the review and updating of Trade Surveillance procedure documentation as requested.
  • Checking all trades manually entered on clients’ accounts by CMC Markets employees
  • Helping to identify new ways clients can take advantage of our platform and helping to establish new controls to stop this from happening.
  • Monitoring trades to ensure that these are being processed in line with our Best Execution obligations
  • Surveillance of trading desks to ensuring we are performing activities in line with our Treating Customer Fairly and Best Execution obligations and to ensure no misconduct is occurring.
  • Assisting with other areas of Trade Surveillance, Financial Crime and Compliance as required.
  • Dealing with ad hoc queries from the business and other control functions.
  • Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training, internal and/or external.
  • When dealing with all customers, clients or colleagues 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

KEY SKILLS AND EXPERIENCE

  • A good understanding and knowledge of financial markets and CMC Markets’ products
  • Previous experience within Trade Surveillance role with focus on Securities fraud and Insider Trading
  • Accuracy and clarity when reporting or responding to regulators
  • Excellent attention to detail
  • Excellent numeracy skills
  • Ability to make quick decisions and prioritise workload
  • Strong ability to communicate and build rapport with other departments
  • Adaptable and resilient in the face of changing priorities
  • Willingness to show initiative and move the department forward

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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