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Trading Oversight Specialist

2 months ago

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

Company Overview

William Rose Associates is collaborating with a prominent trading firm in London, seeking a dedicated professional for the role of Trade Monitoring and Surveillance Analyst.

Key Responsibilities

As a Trade Monitoring and Surveillance Analyst, you will play a vital role in supporting the Trade Monitoring Surveillance Manager in the daily analysis of reports and data. Your focus will be on ensuring accuracy and adherence to legal and regulatory standards, particularly those associated with 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 practices and standards in the securities or investment banking sectors.
  3. Knowledge of UK FCA regulations is advantageous.
  4. Understanding of financial markets is preferred.
  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. Effective time management capabilities.

Collaboration and Impact

In this role, you will collaborate closely with the Head of Compliance, MLRO, and the Group Compliance Officer, contributing to the maintenance of high compliance standards and the overall success of the Compliance Team.

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