Trade Surveillance Specialist
1 month ago
The role requires an expert in the collection and analysis of input and output data, as well as an understanding of key and up-to-date Compliance matters. Knowledge of the surveillance tool Actimize is an advantage but not a requirement. The person should be familiar with regulatory and conduct issues which are relevant to the CA CIB and CASA monitoring and surveillance framework, i.e., Market Abuse and Conduct Risk.
Key Responsibilities- Implement and perform monitoring and testing of trade alerts across all CA CIB and CASA business lines.
- Give input for the design of new monitoring strategies.
- Help to enhance monitoring and surveillance controls that extend to CA CIB and CASA for conduct and market abuse risks.
- Monitor Trades, Orders, RFQs, and Market Data.
- Assist, develop, and help implement new monitoring controls.
- Follow up on any alerts identified as requiring calibration, threshold, or logic changes or general improvements.
- Compile breach/incident and audit trail reports arising from monitoring activity and report the outcome to the UK Head of Surveillance.
- Create and document detailed user guides and desktop procedures.
- Experience in the execution and completion of compliance reports, providing statistical data, performing alert classification, escalation process, and detailed investigations.
- Proactive assessment of the compliance function and its associated risks arising from CA CIB and CASA.
- Strong analytical skills and a demonstrable track record of drafting reports and supplying relevant evidence that can be communicated to regulators.
- Excellent communication skills (both written and verbal).
- Ability to work autonomously or as part of a team.
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London, Greater London, United Kingdom FincSelect Full timeTrade Surveillance OfficerWe are excited to be working with a leading commodities firm on an opportunity within their trade surveillance team.This is a unique surveillance role that stands out from the rest in the market, with unparalleled buy-in from senior leadership and ambitious plans for the future of the team.The ideal candidate will have solid trade...
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London, Greater London, United Kingdom FincSelect Full timeTrade Surveillance OfficerWe are excited to be working with a leading commodities firm on an opportunity within their trade surveillance team.This is a unique chance to join a team that is at the forefront of trade surveillance in the market.The ideal candidate will have solid experience in trade and ecomms surveillance, with a strong understanding of...
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Trade Surveillance Specialist
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London, Greater London, United Kingdom FincSelect Full timeTrade Surveillance OfficerWe are excited to be working with a leading commodities firm on an opportunity within their trade surveillance team.This is a unique chance to join a team that is at the forefront of trade surveillance in the market.The ideal candidate will have solid experience in trade and ecomms surveillance, with a strong understanding of...
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