Trade Surveillance Expert
3 days ago
We are seeking a highly skilled Trade Surveillance VP to join our team at Barclay Simpson, a leading financial services firm based in central London.
About the RoleThis is an exciting opportunity to play a critical role in ensuring the integrity and compliance of trading activities across multiple desks.
Responsibilities- Developing Monitoring Controls: Assist in developing and implementing new monitoring controls to prevent market abuse and manipulation.
- Generating Alerts: Utilize advanced surveillance tools and systems to generate alerts on potential market misconduct and regulatory breaches, investigating and escalating as necessary.
- Analyzing Data: Analyze trading data, order flow, communications, and other relevant information to assess trading behaviors and identify potential compliance issues.
- Staying Compliant: Stay up-to-date with relevant financial regulations and internal policies, ensuring trading activities adhere to all applicable rules and regulations.
- Reporting Findings: Prepare and maintain reports on surveillance findings, trends, and issues, and communicate these findings to the Compliance and Risk Management teams.
- Bachelor's degree: In finance, economics, business, or a related field. CFA, CFE, CAMS certifications are a plus.
- Experience: 3+ years in trade surveillance, compliance, or a related field within the financial industry, with specific experience in Credit and Rates, Foreign Exchange & Treasury, Debt Capital Markets, Securitisation, and Global Investment Banking desks.
- Skillset: Proficiency in utilizing trade surveillance systems, data analytics tools, and trading platforms. Strong understanding of relevant financial regulations, including MiFID II, Dodd-Frank, and other global regulatory frameworks.
- Analytical mindset: Ability to interpret complex data and recognize patterns or irregularities.
The estimated salary for this role is £90,000 - £120,000 per annum, depending on experience.
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