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Trade Surveillance Officer
4 months ago
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.
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