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Trade Monitoring and Surveillance Analyst

3 months ago

London, UK, United Kingdom William Rose Associates Full time

William Rose Associates are actively partnering with a Trading firm based in London which is looking for a Trade Monitoring and Surveillance Analyst to join the business.


ESSENTIAL SKILLS | Trade Monitoring and Surveillance Analyst

  1. 1+ years experience in Trade Monitoring/Surveillance, in a brokerage or banking environment.
  2. An understanding of Market Abuse Regulations including practices and procedures of market standards within the securities industry and/or investment banking industry is ideal
  3. Knowledge of the UK FCA rules and regulations ideal
  4. Knowledge of financial markets ideal
  5. A strong understanding of Compliance responsibilities, practices, and procedures within the securities industry.
  6. Familiarity with Bloomberg useful.


DESIRABLE SKILLS | Trade Monitoring and Surveillance Analyst

  1. Confidence when dealing with senior stakeholders.
  2. Strong communication skills.
  3. Time management skills.


OVERVIEW | Trade Monitoring and Surveillance Analyst

In this position, you will assist the Trade Monitoring Surveillance Manager with the day-to-day analysis of reports and data to ensure accuracy and compliance with legal and regulatory obligations, particularly those related to Market Abuse. Your efforts will be essential in delivering the compliance monitoring plan and providing exceptional service to their internal customers.

You will also work closely with the Head of Compliance, MLRO, and the Group Compliance Officer, helping to uphold high standards and contribute to the overall success of the Compliance Team.

If you’re passionate about compliance, possess a keen eye for detail, and are ready to advance your career with a leading team, we’d love to hear from you


Apply now