Trade Surveillance Officer

3 weeks ago

London, United Kingdom Britannia Global Markets Limited Full time

J- Posted by
- James Butt- Recruiter**Company Background**

Britannia Financial Group is a global financial group offering banking, securities and investment management services, providing 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.

**Trade Surveillance Officer**

**Key Responsibilities**:

- Timely and accurate investigation and disposition of market abuse and communications surveillance alerts and reports
- Identification and escalation of potentially suspicious order, trade and communications activity
- Conducting ad hoc reviews and analysis of client activity to identify potentially suspicious activity and/or patterns or repeated activity
- Carry out daily reviews (on T+1) for Client and Desk Order Flow, monitoring total message counts and ratios, ensuring any potential Exchange breaches are reviewed and averted
- Assist in ongoing client investigations and ‘Enhanced Client Monitoring’, providing analysis and reports to the Head of Compliance
- Assist in responding to requests for information from Regulators, Exchanges and external Counterparties.
- Assist in alert calibration testing for new and existing alert types, ensuring any proposed changes/enhancements to alerts are delivered as expected.
- Assist in maintenance of procedure manuals as and when required.
- Developing an understanding in Britannia Global Markets’ new and existing products and services in order to assist in the ongoing assessment of the firm’s market abuses risks
- Participating in other compliance projects and work as required by the Head of Compliance

**Required Knowledge and Level of Experience**:

- 2 to 5 years experience in a financial markets role and an understanding of FCA’s MAR (required)
- Demonstrable experience working with Trade Surveillance systems and Alerts (required)
- 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
- ABOUT COMPANY
- Britannia Global Markets Limited
- London, United Kingdom
Asset Management

Britannia Financial Group is a diverse, dynamic, and rapidly growing business. Our people are our biggest asset and the key to our ongoing success. I...

  • Trade Surveillance Officer

    2 days ago

    London, Greater London, United Kingdom cer Financial Full time

    Trade Surveillance OfficerCity of London / HybridPermanentUp to £70,000cer 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...

  • Trade Surveillance Officer

    2 days ago

    London, Greater London, United Kingdom NatWest Group Full time

    Join us as a Trade Surveillance OfficerWe'll look to you to be responsible for the monitoring of and handling escalations arising from trade surveillance activities for our Natwest Holdings businesses through alert reviews to ensure compliance with market abuse and relevant market conduct policiesYou'll be seen as a surveillance subject matter expert, as you...

  • Trade Surveillance

    1 month ago

    London, United Kingdom Barclay Simpson Full time

    **Trade Surveillance**: - London - £60,000 - £70,000 - Sector: Banking, Financial Services - Job reference: NE40108 My client is a global trading firm. They are looking to hire a trade surveillance compliance officer to join their team. This is an amazing career opportunity for a junior compliance officer to join a fantastic firm. The role will...

  • Trade Surveillance Officer

    2 days ago

    London, United Kingdom AMS CWS Full time

    We are AMS. We are a global total workforce solutions firm; we enable organisations to thrive in an age of constant change by building, re-shaping, and optimising workforces. Our Contingent Workforce Solutions (CWS) is one of our service offerings; we act as an extension of our clients' recruitment team and provide professional interim and temporary...

  • Trade Surveillance Officer

    17 hours ago

    London, United Kingdom Alexander Mann Solutions (Contingent) Full time

    Our client, a major UK retail bank, provides every day banking services to over 17 million retail customers. The banks expertise and services span across Business Services, Corporate banking, Wealth Management, Group Functions, Retail and Investment Banking. On behalf of this organisation, AMS are looking for a Trade Surveillance Officer for a 6 Month ...

  • Trade Surveillance Officer

    7 hours ago

    London, UK, United Kingdom Alexander Mann Solutions Full time

    Our client, a major UK retail bank, provides every day banking services to over 17 million retail customers. The banks expertise and services span across Business Services, Corporate banking, Wealth Management, Group Functions, Retail and Investment Banking. On behalf of this organisation, AMS are looking for a Trade Surveillance Officer for a 6 Month...

  • Trade Surveillance Officer

    2 days ago

    London, United Kingdom AMS Contingent Full time

    We protect the integrity and reputation of the bank by managing legal risk to make transactions viable and safe. We advise on ethical conduct and identify regulatory solutions. We promote and foster lawful and ethical business through a true partnershipwith the business. We are AMS, a global total workforce solutions firm enabling organisations to thrive in...

  • Trade Surveillance Officer

    1 month ago

    London, United Kingdom NatWest Group Full time

    Risk Oversight & Challenge, Control, Oversight & Assurance Trade Surveillance Officer - London, United Kingdom- Permanent- Full Time#R-00231241

  • Compliance Officer

    7 days ago

    London, United Kingdom Bruin Full time

    Job Description A great opportunity to join a established and growing firm! My client is looking for a Trade Surveillance officer who has the experience and initiative to assist in the implementation of new processes/systems as well as improve the current procedures. The successful candidate will have autonomy and will need to be hands on in their approach...

  • Compliance Officer

    2 weeks ago

    London, United Kingdom Bruin Full time

    Job Description A great opportunity to join a established and growing firm! My client is looking for a Trade Surveillance officer who has the experience and initiative to assist in the implementation of new processes/systems as well as improve the current procedures. The successful candidate will have autonomy and will need to be hands on in their approach...

  • Compliance Officer

    14 hours ago

    London, United Kingdom Bruin Full time

    Job Description A great opportunity to join a established and growing firm! My client is looking for a Trade Surveillance officer who has the experience and initiative to assist in the implementation of new processes/systems as well as improve the current procedures. The successful candidate will have autonomy and will need to be hands on in their...

  • Compliance Officer

    1 week ago

    London, United Kingdom Bruin Full time

    A great opportunity to join a established and growing firm! My client is looking for a Trade Surveillance officer who has the experience and initiative to assist in the implementation of new processes/systems as well as improve the current procedures. The successful candidate will have autonomy and will need to be hands on in their approach and assist the...

  • Trade Surveillance

    17 hours ago

    London, United Kingdom Danos Group Full time

    Our client, a global cryptocurrency firm, are looking for trade surveillance professionals to support their UK team. This is ideal for someone with trade and communications surveillance experience who has used both the Validus and Smartz systems. This will be a fully remote contract which will be looking to start in around a months time.Key...

  • Trade Surveillance Analyst

    1 month ago

    London, United Kingdom Jameson Legal Full time

    An exciting opportunity has arisen with an international (multi product) Broker/Trading business, who are looking for someone to join their Compliance team, in a broad and generalist compliance role based in London. We are looking for someone with trade surveillance experience, that is keen to continue developing their compliance career. The firm requires...

  • VP Trade Surveillance

    1 week ago

    London, United Kingdom Jacobson Garner Full time

    A leading global financial services firm renowned for our unwavering commitment to innovation, integrity, and excellence. An extensive portfolio of services encompasses a broad range of financial products and solutions, catering to an international clientele. As part of their ongoing expansion, they are seeking a highly skilled and experienced VP Trade...

  • VP Trade Surveillance

    7 days ago

    London, United Kingdom Jacobson Garner Full time

    A leading global financial services firm renowned for our unwavering commitment to innovation, integrity, and excellence. An extensive portfolio of services encompasses a broad range of financial products and solutions, catering to an international clientele. As part of their ongoing expansion, they are seeking a highly skilled and experienced VP Trade...

  • VP Trade Surveillance

    7 days ago

    London, United Kingdom Jacobson Garner Full time

    A leading global financial services firm renowned for our unwavering commitment to innovation, integrity, and excellence. An extensive portfolio of services encompasses a broad range of financial products and solutions, catering to an international clientele. As part of their ongoing expansion, they are seeking a highly skilled and experienced VP Trade...

  • VP Trade Surveillance

    1 week ago

    London, United Kingdom Jacobson Garner Full time

    A leading global financial services firm renowned for our unwavering commitment to innovation, integrity, and excellence. An extensive portfolio of services encompasses a broad range of financial products and solutions, catering to an international clientele. As part of their ongoing expansion, they are seeking a highly skilled and experienced VP Trade...

  • VP Trade Surveillance

    1 week ago

    London, United Kingdom Jacobson Garner Full time

    A leading global financial services firm renowned for our unwavering commitment to innovation, integrity, and excellence. An extensive portfolio of services encompasses a broad range of financial products and solutions, catering to an international clientele. As part of their ongoing expansion, they are seeking a highly skilled and experienced VP Trade...

  • VP Trade Surveillance

    1 week ago

    London, United Kingdom Jacobson Garner Full time

    Job Description A leading global financial services firm renowned for our unwavering commitment to innovation, integrity, and excellence. An extensive portfolio of services encompasses a broad range of financial products and solutions, catering to an international clientele. As part of their ongoing expansion, they are seeking a highly skilled and...