Compliance, Trade Surveillance
2 weeks ago
About the job
Compliance, Trade Surveillance Analyst/Vice President
Square Mile, London
About BTIG
BTIG is a global financial services firm specialising in institutional trading, investment banking and related brokerage services. The firm offers execution, expertise and insights for equities, ETFs and fixed income (bonds, convertible and loans). Core capabilities include global sales, portfolio, and outsource trading, and investment banking.
About the Team
The Compliance Department is a dynamic team who protect the firm and partner with Sales, Trading and Investment Banking, to grow the business safely. We are a business enabler, looking to automate and streamline processes whilst ensuring that regulatory and legal requirements are always adhered to.
What we are looking for
We are looking for a diligent Trade Surveillance Analyst to join the Compliance team, who has a strong understanding of equities and debt trading from a sell-side perspective. They should be confident in assessing market abuse risks and be familiar with dealing room floor controls. An understanding of MAR oprisk assessments would be beneficial and an eye for detail is key.
Day to day, this individual will be reviewing trades flagged through LiquidMetrix and BTCA, and they will also be conducting eComms surveillance using Global Relay. Over time, this individual should be making suggestions to improve rules and lexicons. Thematic reviews will also need to be conducted by this individual, including but not limited to bestex reviews, PA Dealing reviews, transaction monitoring (for AML purposes), and short selling checks.
A willingness to get stuck in with broader tasks is a must; BTIG is an entrepreneurial organisation and Compliance is here to support business demands. At times, this individual may be required to help with wall crossings as well as other Control Room tasks. An ability to keep accurate records/ logs of a broad range of metrics is key – so we need someone with an organised mind.
Responsibilities:
- Undertake trade surveillance and thematic reviews; comfortable assessing independently whether an order or trade is suspicious.
- BestEx analysis across fixed income and equities.
- Conduct Control Room tasks such as PA dealing approvals, wall crossings, G&E approvals
- Creating MI on the reviews conducted, accurately logging and following up on action items
Knowledge:
- Experience of operating within a Compliance or Risk team within the sell-side
- Understanding of Market Abuse and its associated controls within a dealing room environment (equities and bonds)
- Understanding of best execution requirements
- Understanding Conflicts of Interest regulatory requirements and controls
Individual:
- Proactive and self-motivated
- Organised with a detail orientated mindset
- Persistent with a ‘can do’ attitude
- Team driven – supportive
Our Values
BTIG’s values are: drive, passion, integrity, agility and creativity. We seek to hire high-quality people who thrive on demonstrating excellence and bring their own ideas for solutions to the table. We're committed to fostering and advancing diversity and inclusion, and proudly offer a comprehensive package of health and wellness services to our employees and encourage staff to participate in charity events which the firm organises.
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