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 opportunity will 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.
- 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.
- Experience of working within an investment bank or brokerage, either in a front office compliance, risk, or operations position.