Market Surveillance Officer
1 month ago
THE COMPANY:
Our client is a successful brokerage firm based in the City. They are looking to hire a Market Surveillance Officer on an FTC basis.
THE RESPONSIBILITIES:
- Monitoring and closing of market surveillance alerts and electronic communications to identify suspicious behaviour
- Calibration and tailoring of monitoring systems to ensure that alerts are generated optimally
- Producing and checking reliable MI on surveillance functions in the firm
- Assisting with enquiries or audits relating to the firm’s market abuse framework;
- Assisting with the annual market abuse risk assessment
- Reviewing policies and procedures relating to market abuse
- Preparing training material for staff relating to market abuse, market conduct and financial crime.
- Assisting with technical enhancements relating to compliance monitoring surveillance software
- Escalating and investigating exceptions and incidents arising from market abuse and electronic communications monitoring.
- Prepare material relating to STOR or SAR notifications to regulators
EXPERIENCE REQUIRED:
- Extensive experience of having worked in market surveillance
- Interest in financial markets, data analysis, and compliance.
- Willingness to learn about the technical aspects of market surveillance.
- Team player, ability to work flexibly and tenacity.
For further information please contact Natalie Eshelby
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