An exciting opportunity has arisen with an international (multi product) Broker/Trading business, who are looking for someone to join their Compliance team, in a broad and generalist compliance role based in London.
We are looking for someone with trade surveillance experience, that is keen to continue developing their compliance career. The firm requires an analyst that can see the bigger picture, strive to learn and develop, yet already have the capability to perform in the role. The role will involve working closely with the front desks, operations, and other members of the Compliance Department to help ensure that the firm meets its legal/regulatory obligations.
Role responsibilities
- Reviewing and analysing surveillance alerts and/or reports relating to firm and client trading activity.
- Reviewing and analysing e-communication surveillance alerts and/or reports.
- 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.
Required experience
- Experience of working within an investment bank or brokerage, either in a front office compliance, risk or operations position.
- Experience using trade surveillance software is desirable.
