Trade Surveillance Expert
2 days ago
Job Description:
LHH Recruitment is seeking a highly skilled Trade Surveillance SME to join our client's Global Surveillance team in London, United Kingdom.
The successful candidate will play a critical role in monitoring and analysing trading activities to ensure compliance with market regulations. Key responsibilities include reviewing exceptions arising from surveillance tools, conducting targeted surveillance on higher-risk events, and providing written reports with evaluative commentaries.
Responsibilities:
- Act as the first reviewer of exceptions arising from surveillance tools, analysing and reviewing all exceptions to resolution.
- Conduct targeted surveillance on higher-risk events and provide written reports with evaluative commentaries.
- Monitor trades to ensure the firm achieves best execution for clients.
- Provide analysis and develop reports on account activities, market manipulation, and broker-dealer practices.
- Write and maintain documented processes for tasks and team documentation.
- Develop enhancements to existing surveillance controls, deliver training, and update procedure documentation.
- Stay updated on regulatory standards, develop findings and procedure reports, and ensure compliance.
- Attend key business committees and external events as a representative of the Global Surveillance Team.
- Design, implement, and deliver training to ensure employees have up-to-date knowledge.
- Lead internal and external audits and compliance monitoring reviews.
Salary Information: The estimated salary for this position is around £65,000 - £85,000 per annum, depending on experience.
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