Trade Surveillance - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Main duties and responsibilities:

Undertake daily trade surveillance activities to address and investigate alerts and identify and investigate potential market abuse and improper activity.
Identify risks/issues and discrepancies and proactively escalate to the Head of Compliance and the MLRO for secondary review as required.
Accurately document review findings and outcomes and support further investigation of suspicious behaviour as required by providing expert insight and technical assistance.
Build relationships with the Front Office and investigate internal escalations when necessary.
Draft STOR ready for submission to the relevant regulators such as FCA as required.
Promptly investigate and communicate operational issues arising from trade surveillance activities with relevant stakeholders, e.g., IT for data related issues.
Make recommendations for enhancements to existing processes for identifying market abuse risk in line with regulatory change.
Assisting in drafting and updating appropriate policies and procedures in relation to financial crime as needed.
Conduct reviews in accordance with the Compliance Monitoring Plan;
Assist in responding to regulatory enquiries;
Assisting with PA Dealing approvals and monitoring of the Restricted and Watch Lists
Manage the Transaction reporting process to the regulations for UK and EU MIFIR and investigate any exceptions in reporting process
Extensive compliance monitoring and surveillance experience within a financial services firm (brokerage is preferable)
Extensive relevant experience in a trading, monitoring or surveillance position at a financial services firm (institutional brokerage is preferable, at least 56 years' experience).
Strong knowledge of market abuse regulation and conduct regulatory requirements and being able to identify risks in relation to potential Market Abuse is essential;
Deep knowledge of various products

- cash equities, equity derivatives, fixed income, FX options, IRSs

Excellent communication skills, both written and verbal, to deal with key stakeholders including front office and Senior Management ;
Very motivated with strong ability to prioritise
Must be able to demonstrate an ability to use his/her initiative to problem solve with the minimum of daytoday supervision.
Strong IT skills familiar with using automated monitoring solutions / tools and Microsoft Word and Excel
Knowledge of TZ suveillance system is a plus