Trade Surveillance Manager
1 day ago
THE COMPANY:
Our client is a leading securities firm based in the City. They are looking to hire a Trade Surveillance Manager for their team, it is essential that the candidate has people management experience.
THE RESPONSIBILITIES:
- Managing the Surveillance function and working with the Trade Surveillance analysts to conduct trade surveillance and related front office monitoring activities as part of the firm’s compliance monitoring procedures;
- Conduct investigations into potential abusive and/or non-compliant behaviours, documenting findings, and preparing regulatory reports in a timely manner as necessary;
- Managing the ongoing development of the surveillance environment including assessment, development and fine tuning of surveillance tools and the alerting suite;
- In conjunction with the Compliance senior management assist in production of and subsequent delivery of the Market Abuse Strategy, including the firm’s market abuse risk assessment and employee education programme;
- Provide advice and assistance to front office staff in resolving compliance and regulatory issues arising from sales and trading activities;
- Liaise and communicate with all internal stakeholders to ensure a consistent and effective risk-based approach, compliant with professional standards, is deployed across the trading floor;
- Engage with external bodies to investigate and resolve regulatory and/or exchange enquiries in a timely and professional manner as required;
- As requested, present to Management on surveillance activities and developments;
- Resolve Surveillance issues to the satisfaction of both the Company and clients in compliance with regulatory obligations;
- Developing the surveillance framework to ensure it remains fit for purpose in line with firm, market, and regulatory developments.
- Perform ad-hoc Compliance duties as required.
EXPERIENCE REQUIRED:
- 5+ years relevant experience in trade surveillance/market abuse financial Compliance related role
- Proficiency in trade surveillance systems and software
- Ability to demonstrate an understanding of the regulatory framework relevant to the role, whilst practising effective risk management
- Have proven experience as a well-rounded and highly regarded compliance (or equivalent) professional
- Be a proven and engaged people manager with demonstrable experience of, and genuine interest in, leading, developing and enhancing teams of high potential professionals
For further information, please contact Natalie Eshelby
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