Trade Surveillance Specialist

2 days ago

London, Greater London, United Kingdom Crédit Agricole CIB Full time

Job Summary

The Trade Surveillance Officer will be responsible for implementing and performing monitoring and testing of trade alerts across all CA CIB and CASA business lines. This includes monitoring of trades, orders, RFQs, and market data, as well as assisting in the design of new monitoring strategies.

Key Responsibilities

  • Implement and perform monitoring and testing of trade alerts across all CA CIB and CASA business lines.
  • Assist in 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.
  • 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.

Requirements

  • Expertise in the collection and analysis of input and output data.
  • Understanding of key and up-to-date Compliance matters.
  • Knowledge of the surveillance tool Actimize is an advantage but not a requirement.
  • Familiarity with regulatory and conduct issues relevant to the CA CIB and CASA monitoring and surveillance framework.
  • 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.
  • Excellent communication skills, both written and verbal.

Working Environment

The Trade Surveillance Officer will work within the Surveillance area and report to the UK Head of Surveillance.

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