Trade Surveillance Officer - London, United Kingdom - eFinancialCareers

eFinancialCareers
eFinancialCareers
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London, United Kingdom

2 weeks ago

Tom O´Connor

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Tom O´Connor

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Description
An opportunity has arisen to work with an international trading firm operating on London's global markets. They are seeking compliance professionals with a background in compliance/monitoring who are familiar with forms of market abuse.

This opportunitywill provide exposure to the broader compliance requirements within a trading business as there will be communication with the front desks, operations and other members of the Compliance Department to help ensure that the firm meets its legal/regulatory obligations.


Key Responsibilities:


  • Reviewing and analysing surveillance alerts and/or reports relating to firm and client trading activity.
  • Properly documenting the review and resolution of the exceptions, as well as escalating matters appropriately.
  • Communicating surveillance findings to management in a clear and concise manner.
  • Assisting with trade surveillance alert calibration assessments.
  • Assisting in the Firm's response to enquiries received from exchanges and regulators.
  • Preparing relevant MI for senior management.
  • Conducting monitoring reviews from the Compliance Monitoring Plan.
  • Delivering training to front office on market conduct.
  • Updating compliance policies and procedures.
  • Assisting with system access requests for exchange trading platforms.
  • Gathering information and preparing documentation for regulatory STOR submissions.

Valuable Experience:


  • Experience of working within an investment bank or brokerage, either in a front office compliance, risk, or operations position.
For a confidential chat about this or other roles we are handling, please contact Solomon Cairns at


Jameson Legal acts as an employment business for temporary recruitment and as an employment agency for fixed term contract and permanent recruitment.

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