Trade Surveillance

2 weeks ago

London, United Kingdom eFinancialCareers Full time

**Main duties and responsibilities: **
- Undertake daily trade surveillance activities to address and investigate alerts and identify and investigate potential market abuse and improper activity.
- Identify risks/issues and discrepancies and proactively escalate to the Head of Compliance and the MLRO for secondary review as required.
- Accurately document review findings and outcomes and support further investigation of suspicious behaviour as required by providing expert insight and technical assistance.
- Build relationships with the Front Office and investigate internal escalations when necessary.
- Draft STOR ready for submission to the relevant regulators such as FCA as required.
- Promptly investigate and communicate operational issues arising from trade surveillance activities with relevant stakeholders, e.g., IT for data related issues.
- Make recommendations for enhancements to existing processes for identifying market abuse risk in line with regulatory change.
- Assisting in drafting and updating appropriate policies and procedures in relation to financial crime as needed.
- Conduct reviews in accordance with the Compliance Monitoring Plan;
- Assist in responding to regulatory enquiries;
- Assisting with PA Dealing approvals and monitoring of the Restricted and Watch Lists
- Manage the Transaction reporting process to the regulations for UK and EU MIFIR and investigate any exceptions in reporting process
- Extensive compliance monitoring and surveillance experience within a financial services firm (brokerage is preferable)
- Extensive relevant experience in a trading, monitoring or surveillance position at a financial services firm (institutional brokerage is preferable, at least 5-6 years’ experience).
- Strong knowledge of market abuse regulation and conduct regulatory requirements and being able to identify risks in relation to potential Market Abuse is essential;
- Deep knowledge of various products
- cash equities, equity derivatives, fixed income, FX options, IRSs
- Excellent communication skills, both written and verbal, to deal with key stakeholders including front office and Senior Management ;
- Very motivated with strong ability to prioritise
- Must be able to demonstrate an ability to use his/her initiative to problem solve with the minimum of day-to-day supervision.
- Strong IT skills familiar with using automated monitoring solutions / tools and Microsoft Word and Excel
- Knowledge of TZ suveillance system is a plus

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