Equities and Markets Surveillance - London, United Kingdom - eFinancialCareers

eFinancialCareers
eFinancialCareers
Verified Company
London, United Kingdom

3 weeks ago

Tom O´Connor

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Tom O´Connor

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Description

Tasks and Responsibilities

  • Investigate trading practices i.e. market abuse and best execution monitoring via the automated surveillance system.
  • Undertaking periodic compliance reviews across the equity, fixed income and convertible bonds businesses.
  • Front Office Communications monitoring.
  • Undertaking desk reviews.
  • Respond to ad hoc client and front office queries.
  • Liaise and/or assist with matters relating to regulatory and exchange bodies e.g. FCA and LSE.
  • Support the business in the development of new controls & monitoring as it relates to new & developing business activities.
  • Assist on adhoc projects as required.
  • Support Senior Compliance Advisor on a day to day basis.
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