Securities Surveillance Officer

3 weeks ago


London, Greater London, United Kingdom William Rose Associates Full time

Company Overview

William Rose Associates is collaborating with a prominent trading firm seeking a dedicated professional to fill the role of Trade Monitoring and Surveillance Analyst.

Key Responsibilities

As a Trade Monitoring and Surveillance Analyst, you will support the Trade Monitoring Surveillance Manager in conducting thorough analyses of reports and data. Your role is crucial in ensuring compliance with legal and regulatory requirements, particularly those concerning Market Abuse.

Essential Qualifications

  1. Minimum of 1 year of experience in Trade Monitoring or Surveillance within a brokerage or banking context.
  2. Familiarity with Market Abuse Regulations and an understanding of industry standards in the securities or investment banking sectors.
  3. Knowledge of UK FCA regulations is preferred.
  4. Understanding of financial markets is advantageous.
  5. Strong grasp of Compliance responsibilities, practices, and procedures in the securities field.
  6. Experience with Bloomberg is beneficial.

Desirable Attributes

  1. Ability to engage confidently with senior stakeholders.
  2. Excellent communication skills.
  3. Strong time management capabilities.

Collaboration and Impact

You will collaborate closely with the Head of Compliance, MLRO, and the Group Compliance Officer to maintain high standards and contribute to the success of the Compliance Team.

If you are enthusiastic about compliance and possess a meticulous attention to detail, this role offers an excellent opportunity to further your career within a leading organization.


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