Financial Compliance Expert

2 weeks ago

London, Greater London, United Kingdom Barclay Simpson Full time

As a leading financial services firm with an office in central London, Barclay Simpson is seeking a Trade Surveillance VP to play a critical role in ensuring the integrity and compliance of trading activities across multiple desks.

About the Role

This position involves monitoring, analysis, and reporting of trading activities to identify potential market abuse, manipulation, and regulatory violations. Key responsibilities include:

  • Monitoring: Assist in developing and implementing new monitoring controls to prevent non-compliance issues.
  • Alert Generation: Utilize surveillance tools and systems to generate alerts on potential market misconduct and regulatory breaches, investigating and escalating as necessary.
  • Data Analysis: Analyze trading data, order flow, communications, and other relevant information to assess trading behaviors and identify potential compliance issues.
  • Regulatory Compliance: Stay up-to-date with relevant financial regulations, including MiFID II, Dodd-Frank, and other global regulatory frameworks, ensuring trading activities adhere to all applicable rules and regulations.
  • Reporting: Prepare and maintain reports on surveillance findings, trends, and issues, communicating these findings to the Compliance and Risk Management teams.
  • Training and Awareness: Contribute to the development and delivery of training programs to enhance the understanding of regulatory compliance among trading desk personnel.

To be successful in this role, you will require:

  • A Bachelor's degree in finance, economics, business, or a related field, preferably with certifications such as CFA, CFE, or CAMS.
  • At least 3 years of experience 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.
  • Proficiency in utilizing trade surveillance systems, data analytics tools, and trading platforms.
  • A strong understanding of relevant financial regulations and analytical mindset to interpret complex data and recognize patterns or irregularities.

The estimated salary for this position is £80,000 - £120,000 per annum, depending on experience and qualifications. If you are a motivated and detail-oriented professional with a passion for financial compliance, we encourage you to apply for this exciting opportunity.

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