Trade Surveillance Analyst

4 weeks ago

London, United Kingdom Hong Kong Exchanges Full time

Trade Surveillance Analyst page is loaded Trade Surveillance Analyst Apply locations UK-London time type Full time posted on Posted 4 Days Ago job requisition id R001706 Trade Surveillance Analyst

Shift Pattern:

Standard 40 Hour Week (United Kingdom)

Scheduled Weekly Hours:

40

Corporate Grade:

F - Officer

Reporting Line:

(UK Division) LME Operations

Location:

UK-London

Worker Type:

Permanent

Overall Purpose of the role

The role of the Market Surveillance team is to monitor activity on all London Metal Exchange (LME) trading venues to ensure that the markets remain fair, transparent, and orderly.The team is comprised of 3 sub-teams which are Trade Surveillance, Member Oversight, and Position Surveillance.

The team monitors order and trade activity to identify behaviour which may be indicative of market abuse or other behaviour which may damage the integrity of LME markets.The wider team is also responsible for member oversight to ensure continued Member compliance with the LME rules.This is achieved through the annual Member Audit Programme and formal investigations which may lead to disciplinary action.Other wider team responsibilities include but are not limited to position monitoring and ensuring that Members are aware of their lending obligations under the LME Lending Rules.

This role is within the Trade Surveillance team. The primary focus of this role will be to carry out daily surveillance tasks, including the monitoring of order and trade activity and working with the Position Surveillance sub-team to identify behaviour which may be indicative of market abuse or other market integrity issues. Monitoring is conducted through a mix of electronic alerts (using the Nasdaq SMARTS surveillance system) and report based data.The candidate will also be involved in the receipt and analysis of referrals of unusual behaviour from various sources, undertaking enquiries with Members to determine if issues should be escalated for possible investigation, drafting reports of suspicious activity and dealing with requests for information and data from the FCA.The candidate will also be involved in assisting with the ongoing development of the Nasdaq SMARTS surveillance system.This role will involve significant interaction and exposure to external stakeholders of the LME.

Responsibilities

  • Conduct daily market abuse and market integrity surveillance using LME electronic surveillance systems and reports.
  • Assist in developing LME Market Surveillance systems and processes to ensure the surveillance programme remains robust and effective.
  • Assist with the handling of referrals and investigations undertaken by Market Surveillance.
  • Assist in responding to requests for information from the FCA.
  •  Keep abreast of market and regulatory news that may impact the surveillance programme.
  • Ensure that a full audit trail of analysis / reviews undertaken is maintained and that records are accurate and completed to the highest standard.
  • Assist in the preparation of Market Surveillance Management Information reports.
  • Draft and update procedure manuals as and when required.
  • Provide support to the rest of Market Surveillance team on day to day tasks or special projects when required.

Qualifications Required

  • A graduate with 2.1 degree or above, or otherwise strong academic background in relevant subjects such as Mathematics, Economics, Business, Accounting, or other quantitative subjects with strong computer literacy.

Preferred Knowledge and Experience

  • Trade monitoring experience (desirable).
  • Strong desire to learn about futures and options markets, and trade surveillance
  • Previous experience with the Nasdaq SMARTS surveillance system (desirable).
  • Ability to interrogate a database system for investigation, analysis and preparation of statistical reports and to understand alert triggers and trading behaviour.
  • Desire to learn about UK Market Abuse Regulation.
  • Ability to draft brief reports in a concise, professional and clear manner.
  • Knowledge of Exchange traded derivatives markets such as the LME or other Commodities Markets (preferred).

Skills Required

  • Good written and verbal communication skills.
  • Conversant with all Microsoft Office applications particularly Excel and Powerpoint.
  • Knowledge of Excel formulas and macros (desirable).
About Us

Hong Kong Exchanges and Clearing Limited (HKEX) is a publicly-traded company (HKEX Stock Code:388) and one of the world’s leading global exchange groups, offering a range of equity, derivative, commodity, fixed income and other financial markets, products and services, including the London Metals Exchange.


As a superconnector and gateway between East and West, HKEX facilitates the two-way flow of capital, ideas and dialogue between China and the rest of world, through its pioneering Connect schemes, increasingly diversified product ecosystem and its deep, liquid and international markets.


HKEX is a purpose-led organisation which, across its business and through the work of HKEX Foundation, seeks to connect, promote and progress its markets and the communities it supports for the prosperity of all.

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