Trade Surveillance Officer - London, United Kingdom - Crédit Agricole CIB

Crédit Agricole CIB
Crédit Agricole CIB
Verified Company
London, United Kingdom

2 weeks ago

Tom O´Connor

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Tom O´Connor

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Description
Job description


Business type:


  • Types of Jobs
  • Compliance / Financial Security

Job title:


  • Trade Surveillance Officer

Contract type:


  • Permanent Contract

Management position:


  • No

Job summary:


  • 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)
  • Market Soundings and Investor Feedback.
  • Electronic Communications.
  • Conflicts of interest.
  • LIBOR submission and related communications monitoring.
  • 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 desk top procedures ensuring all policies remain up to date.
  • Contribute to the maintenance of the annual Compliance Surveillance book of work.
  • Highlight issues to senior Surveillance Management regarding data input, data output and market data.
  • Identify and escalate potential instances of Market Abuse, Operational risk and other market integrity issues as discovered from the alert creation process.
  • Ensure the efficient escalation of any potential breaches and tracking them as appropriate.
  • Ensure that the monitoring findings are accurately recorded and retrievable to provide full reporting to senior management.
  • Proactively identify gaps and weaknesses in surveillance/ monitoring activity and actively seeking to address them.
  • Ensure confidentiality at all times due to privileged information access.
  • Maintain awareness of key regulatory updates and analysing their impact on alert development.
  • Participate actively to the changes in the organisation triggered by the revamping of the monitoring platform and tools.
Position location


Geographical area:


  • Europe, United Kingdom

City:


  • London

Minimal education level:


  • Bachelor Degree / BSc Degree or equivalent

Academic qualification / Speciality:


  • Compliance related Professional Training qualification (e.g. FINRA, CISI).
  • University degree or equivalent level of experience.

Experience:


  • Understanding of basic Capital market products such as Origination, Syndication, Credit and Rates, Structured Products, FX and Treasury.
  • Solid controls development experience streamlining processes and controls.
  • Ability to review and analyse data then present results statistically in MI format.
  • Proven experience of delivering high quality compliance MI reports for senior management.
  • Proven experience of executing compliance reports and investigations or similar regulatory reports.
  • Ability to track and document investigation until resolution.
  • Proven experience of written communications with senior managers
  • Ability to defend and persuade a position.
  • Understanding of Market Abuse Regulation and the associated Alert Scenarios, but not limited to: Layering/Spoofing, Front Running, Wash Trades, Ramping, Cross Product/Venue Manipulation, Manipulation of Benchmarks.

Required skills:


  • High curiosity and Investigative mind
  • Ability to detect suspicious behaviour
  • Results driven person who is willing to take on repetitive tasks
  • Energy and tenacity to work well under pressure to deliver in short deadlines.
  • Confident and adaptable, and possess an eye for detail whilst appreciating the big picture
  • Selfstarter with mínimal need for guidance
  • Ability to assimilate and to interpret information quickly
  • Proactive attitude in identifying trends and risks
  • Ability to handle a large amount of data on a daily basis
  • Team player who enjoys working collaboratively and communicate regularly
  • Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
  • Excel proficient
  • Fluent communication (oral and written) and interpersonal skills.
  • Detailed knowledge of FCA rules and good knowledge of European Legislation, as well as UK and European best practice.
  • IT literacy (trade capture systems and downstream feeds) risk systems, surveillance tools, databases and spreadsheets and statistics).
  • Report writing skills
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