Trade Surveillance Officer
1 month ago
Description du poste
The role requires an expert in the collection and analysis of input and output data, as well as an understanding of key and up to date Compliance matters. Knowledge of the surveillance tool Actimize is an advantage but not a requirement. The person should be familiar with regulatory and conduct issues which are relevant to the CA CIB and CASA monitoring and surveillance framework i.e. Market Abuse and Conduct Risk.
The CM&S Framework monitors transactions and communications within all the business lines including:
· Credit and Rates, Foreign Exchange & Treasury, Debt Capital Markets, Securitisation.
· Global Investment Banking.
· Identification and inclusion of conduct risks.
Experience in the execution and completion of compliance reports, providing statistical data, performing alert classification, escalation process and detailed investigations whilst delivering high quality and timely management information reports is essential. This includes documenting evidence and validating findings.
Proactive assessment of the compliance function and its associated risks arising from CA CIB and CASA is vital. This includes liaising with Business lines, Central Compliance, Business Compliance Advisory, Front office and relevant IT teams as required. All procedures and documents should be kept up to date to reflect the compliance plan and day to day tasks.
Communication skills (both written and verbal); strong analytical skills and a demonstrable track record of drafting reports and supplying relevant evidence that can be communicated to regulators is paramount. The incumbent should have experience of regular communications with senior managers and front office lines of business and are able to demonstrate flexibility, diplomacy, compliance ability and expertise throughout those communications.
He/she must be a self-starter who can work autonomously or as part of a team, hence the person must be motivated can demonstrate a high standard of compliance and compliance culture.
All team members report to the UK Head of Surveillance.
Key Responsibilities
The incumbent shall work within the Surveillance area to implement and perform monitoring and testing of trade alerts across all CA CIB and CASA business lines. He/she will give input for the design of new monitoring strategies.
· Help to enhance monitoring and surveillance controls that extends to CA CIB ad CASA for conduct and market abuse risks. This includes, but it not limited to:
- Monitoring of Trades, Orders, RFQs and Market Data. (Daily)
· Assist, develop and help implement new monitoring controls other than those set out above.
· Follow up on any alerts identified as requiring calibration, threshold or logic changes or general improvements.
· Compile breach / incident and audit trail reports arising from monitoring activity and report the outcome to the UK Head of Surveillance.
· Create and document detailed user guides and desktop procedures
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