Trade Surveillance Manager

1 day ago


London, UK, United Kingdom Compliance Professionals Full time

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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