Monitoring and Surveillance Analyst

7 days ago

London, United Kingdom Finitas Full time

Our client is a UK based digital asset derivatives trading venue, regulated by the FCA. This is a newly created role to join a dynamic and experienced team. You will be working closely with the Chief Compliance Officer to prepare and conduct compliance monitoringreviews, you will also assist in surveillance alerts investigations.

**_This role can NOT sponsor a work visa. Excellent base salary plus bonus and benefits._**

**Responsibilities**:

- Set-up monitoring reviews
- Request appropriate documents including RCSAs
- Prepare documents and conduct screening and review
- Create a gap analysis
- Identify and handover to the relevant Subject Matter Experts possible other Compliance issues (AML, Conflict of interest, Bribery & Corruption, Outside interest, etc.)
- Assist Head of Surveillance in analysing market abuse alerts
- Be responsive to queries about the investigations and related risk mitigation measures raised by Business and Support Units
- Disposition alerts for discount or escalation
- Maintain the case management tool
- Produce monthly MI for management forums
- Liaise with various internal departments including Compliance, Operations, Finance and Risk

**Qualifications & Skills**:

- University graduate in finance or related discipline is preferred
- 5+ years of relevant experience institutional banking experience in a monitoring or surveillance role
- Must have a deep understanding of the front-to-back future and options trading and settlement process (and ideally broader derivative product knowledge)
- Experience using data analytics and technology to provide assurance insights
- Proven track record of independently assessing compliance within a broader compliance department desirable
- Deeply detailed oriented, with excellent follow-up capabilities
- Entrepreneurial mind-set and a keen interest in digital assets
- Exposure to institutional grade exchange platforms - Eurex, CME, ICE etc
- Familiarity with Teams, Excel, Power Point, CRM systems,
- Ability to work in a fast paced and highly collaborative environment
- Strong communication skills and fluent spoken and written English
- This is a hybrid role with 3+ days per week in the London office (in the City)

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