Market Surveillance Officer

1 month ago


London, UK, United Kingdom Compliance Professionals Full time

THE COMPANY:


Our client is a successful brokerage firm based in the City. They are looking to hire a Market Surveillance Officer on an FTC basis.







THE RESPONSIBILITIES:


  • Monitoring and closing of market surveillance alerts and electronic communications to identify suspicious behaviour
  • Calibration and tailoring of monitoring systems to ensure that alerts are generated optimally
  • Producing and checking reliable MI on surveillance functions in the firm
  • Assisting with enquiries or audits relating to the firm’s market abuse framework;
  • Assisting with the annual market abuse risk assessment
  • Reviewing policies and procedures relating to market abuse
  • Preparing training material for staff relating to market abuse, market conduct and financial crime.
  • Assisting with technical enhancements relating to compliance monitoring surveillance software
  • Escalating and investigating exceptions and incidents arising from market abuse and electronic communications monitoring.
  • Prepare material relating to STOR or SAR notifications to regulators











EXPERIENCE REQUIRED:


  • Extensive experience of having worked in market surveillance
  • Interest in financial markets, data analysis, and compliance.
  • Willingness to learn about the technical aspects of market surveillance.
  • Team player, ability to work flexibly and tenacity.












For further information please contact Natalie Eshelby


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