A prestigious Boutique Investment Bank is looking for an experienced trade surveillance professional to join their Compliance team, initially on a 6 month contract but with the intention of the role becoming permanent (this is a new role). You will be heavily involved in continuing to build out their trade surveillance programme across Europe.
- Reviewing and analysing surveillance alerts and/or reports relating to firm, employee, and client trading activity.
- Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately.
- Working with other compliance colleagues to design and assist in the development of new trade surveillance controls.
- Liaising with Advisory Compliance Officers and/or the Control Room on trade surveillance monitoring related issues, together with appropriate Front Office employees when required.
- Gathering and analysing trade data to assist in the Firm’s response to inquiries received from governmental and exchange regulatory bodies.
- Additionally, supporting the compliance group in evaluating surveillance results for potential problems, communicating surveillance findings to management in a clear and concise manner as well as interacting with legal and other compliance personnel.
- Responding to inquiries or requests from internal partners.
- Assisting with the design and implementation of new surveillances as well as the refinement of existing ones. Interacting with IT and Systems teams on the specific design and testing of new systems.
- Carrying out e-communications surveillance and formulating appropriate policies.
- Preparing relevant MI.
- Additional duties as assigned, including to support any conduct related risk framework.
- Broad knowledge of the UK regulatory framework, including an excellent understanding of the FCA Conduct of Business, EU Market Abuse Regulation, and global Market Abuse framework.
- Sound working knowledge of applicable laws and regulations.
- Experience in trade surveillance, a trading background within wholesale markets (equities, Fixed income, FX).
- Strong project management and organisational skills, and capability to handle multiple projects at one time.
- Proficiency in MS Office applications (Excel, Word, PowerPoint).