Market Surveillance Officer

2 months ago

City Of London UK, Central London, United Kingdom Rev & Regs Full time

Rev & Regs are recruiting for a contract Market Surveillance Manager position for a dynamic and well-established broker in the City of London.


The candidate will be involved with performing trade surveillance and monitoring of voice and electronic communications relating to the organisation’s trading and broking activities across the UK, US and Dubai.


Responsibilities:


  • Monitoring and closing of market surveillance alerts and electronic communications to identify suspicious behaviour that could be indicative of market abuse, insider trading, financial crime or inappropriate market conduct.
  • Calibration and tailoring of monitoring systems to ensure that alerts are generated optimally and reduce false positives across trade surveillance and electronic communications systems.
  • Producing and checking reliable MI on surveillance activity for the Board and governance committees on the market abuse governance and the control framework.
  • Assisting with enquiries or audits relating to the firm’s market abuse framework.
  • Assisting with the annual market abuse risk assessment (MARA) in line with local regulatory requirements.
  • Track attendant actions arising from the Board and governance meetings or other ad-hoc meetings or audits.
  • Preparing training material for staff relating to market abuse, market conduct and financial crime.
  • Assisting with technical enhancements relating to compliance monitoring software (e.g. trade surveillance).
  • Implementing system changes arising from changes to applicable regulations, guidance or best practice relating to market abuse, financial crime or market conduct.
  • Escalating and investigating exceptions and incidents arising from market abuse and electronic communications monitoring.


Experience:


  • Experience of having worked in market surveillance or compliance monitoring function.
  • Market Surveillance experience within LME environment preferred.
  • Interest in financial markets, data analysis, and compliance.
  • A graduate with good academic qualifications, preferably with a STEMS degree.
  • Willingness to learn about the technical aspects of market surveillance.
  • Team player, ability to work flexibly and tenacity.
  • Strong report writing and documentation skills.


Salary - £80,000 FTE

Duration - 3 months FTC (strong possibility of extension)

Location – City of London (4-5 days per week in office)

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