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Trade Surveillance Manager
2 months ago
Company overview:
Britannia Global Markets provides a wide range of bespoke financial services to a substantial and diversified client base that includes corporations, financial institutions, and individuals.
With more than 120 years of banking tradition, the group is headquartered in the City of London and maintains offices in major financial centres around the world.
Role overview:
The Trade Surveillance Manager is responsible for leading and overseeing all aspects of trade surveillance activities within the UK brokerage firm. This role involves developing and implementing trade surveillance strategies, policies, and procedures to ensure compliance with regulatory requirements and promote market integrity. The Trade Surveillance Manager leads a team of surveillance professionals, conducts investigations into suspicious trading activities, engages with regulatory authorities, and drives continuous improvement in trade surveillance processes and technologies.
Key Responsibilities:
- Develop and implement trade surveillance strategies, policies, and procedures in alignment with regulatory requirements, industry best practices, and firm's risk appetite. Utilise surveillance technologies and tools to enhance the effectiveness and efficiency of trade surveillance activities, including algorithmic trading monitoring systems, order management systems, and market surveillance platforms.
- Conduct risk assessments to identify emerging risks and vulnerabilities in trading activities, markets, and products, and develop strategies to mitigate these risks.
- Lead and coordinate investigations into suspicious trading activities and potential regulatory breaches, working closely with internal stakeholders, compliance, legal, and regulatory authorities as necessary.
- Serve as the primary point of contact for regulatory authorities and exchanges on trade surveillance matters, including responding to inquiries, participating in regulatory meetings, and staying abreast of regulatory developments and requirements.
- Collaborate with other internal teams, including compliance, risk management, legal, technology, and operations, to ensure alignment and coordination in managing trading-related risks and compliance obligations.
- Day to day management of the trade surveillance team.
Experience required:
- Extensive experience in a financial markets role and an excellent understanding of FCA’s MAR
- Extensive trade surveillance people management experience
- Extensive experience working with Trade Surveillance systems and Alerts
- Experience working with Communication Surveillance systems and alerts and investigating associated conduct issues is desirable, but not essential
- Experience of compliance monitoring of trading desks is desirable, but not essential.
- Good understanding of futures and options and commodity derivatives is desirable, but not essential
- Excellent data analysis and interpretation skills
- Ability to quickly grasp an understanding of alert triggers and trading behaviour
- Attention to detail and accuracy essential
- Ability to draft reports in a concise, professional, and succinct manner
- Strong written and verbal communication and inter-personal skills
- Conversant with all Microsoft Office applications particularly Excel and PowerPoint
