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    Trade Surveillance Officer - London (Greater), United Kingdom - cer Financial

    cer Financial
    cer Financial London (Greater), United Kingdom

    1 week ago

    Default job background
    Full time
    Description

    Trade Surveillance Officer

    City of London / Hybrid

    Permanent

    Up to £70,000

    cer Financial are working alongside a financial advisor who are based in the City of London. They are seeking a Trade Surveillance Officer to work with them on a permanent basis.

    The Responsibilities of a Trade Surveillance Officer Will Include:

    · Continuous monitoring of market activity in real-time through internal systems, including the 'Activity Monitor,' to track all trades, orders, and messaging volumes.

    · Conduct timely analysis of alerts escalated by the Scila surveillance tool to identify and prevent market or firm-damaging misconduct.

    · Perform ad-hoc reviews and screening of trading activity, analysing complex situations, identifying high-risk behaviours, and efficiently resolving issues.

    · Analyse trading strategies and implement enhanced monitoring processes.

    · Utilise the firm's internal visualisation tools effectively, including Microscope (orderbook ladders, graphs), Risk Monitor (orderbook ladders, star of day positions, P&L), Activity Monitor (orders, trades, messaging volumes), Matching Trades Analyser (identifying collusion/wash trading), and Insider Dealing Event Tracker.

    · Document and provide evidence of surveillance analysis within Compliance Surveillance Actions folders to facilitate decision-making regarding alert closure or identification of suspicious patterns.

    · Analyse and prepare surveillance issues for recommendation and subsequent escalation to the Head of Compliance.

    · Collaborate with Technology teams and/or vendors to develop new tools and surveillance controls.

    · Oversee inquiries from external entities, including clearing members, and assume a leadership role in addressing regulator and exchange inquiries.

    · Develop expertise required to contribute to the firm's market surveillance-related workstreams.

    · Calibration of new and existing Scila surveillance alert parameters for testing before implementation and document the testing outcomes.

    · Develop specific Scila surveillance alerts tailored to different asset classes.

    · Assume responsibility for executing new alerts on historical trading data to identify potential patterns of market abuse.

    · Take ownership of allocated surveillance projects, collaborating with Compliance and broader operational teams as necessary.

    · Generate meaningful Management Information from Scila and other sources on a weekly basis.

    · Participate in the preparation of the Compliance Board Pack.

    · Maintain the Risk Register encompassing all surveillance matters and the Enhanced Monitoring List.

    · Knowledge of algorithms is desirable, including participation in algorithm demos and understanding trading strategies.

    · Comprehend algorithmic trading strategies and ascertain their compliance with exchange rules.

    · Possess a sold understanding of exchange regulations.

    · Conduct surveillance on market making, liquidity provision, and volume creation strategies, cross-referencing exchange-completed forms, and databases to identify traders or groups participating and to detect potential instances of collusive behaviour or market abuse.

    · Evaluate personal account dealing confirmations in comparison to traders' trading account activities.

    The Successful Trade Surveillance Officer Will Have:

    · Compile and evaluate documentation for internal investigations.

    · Address and retrieve data for regulatory inquiries from entities such as the UK Financial Conduct Authority (FCA) or other pertinent regulatory bodies.

    · Offer input on STOR recommendations regarding surveillance information for assessment.

    · Assist in the preparation of STORS for submission to the FCA.

    · Collaborate with Business Units, Legal, and Compliance Coverage teams to respond to regulatory inquiries as required.

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