Trade Surveillance Contractor

This vacancy is now closed

An award winning, fast growing, financial services business, are now looking for an additional Trade & Market Surveillance Analyst with experience of capital market activities such as FX, CFDs, spread betting, options, futures, equities and derivatives to join their Compliance team, for an initial 3-month contract with likely extensions.

To secure the position, you will have experience gained within a trade and market surveillance role, with a good awareness of Market Abuse Regulations, insider trading, FCA rules and general compliance oversight functions.

Reporting to the Head of Compliance, you will:

  • - Monitor, investigate and communicate issues arising from your daily trade surveillance monitoring
  • - Maintain a database of remedial actions/recommendations arising from trade surveillance
  • - Develop monitoring methodology based on analysis of anomalies in trading patterns and behaviours
  • - Email and phone call monitoring
  • - Participate in investigations into incidents arising within business lines
  • - Escalate issues proactively and timely - submitting SARs to the NCA & STRs to the FCA where market abuse is suspected
  • -Review and approve financial promotions prior to their release in accordance with FCA COBS rules
  • - Written reports where necessary

You should be a process-driven, compliance person, who is a specialist at market surveillance specifically.

You must have very strong excel skills (pivot tables, macros, VLOOKUPs) who can scan through thousands of trades at any one time

You will have a broad awareness of market abuse, insider trading and other exchange rules and regulations..  You will understand their impact on the electronic surveillance monitoring programme and what the correct course of action is to deal with it.

The daily rate on offer is between £350 - £400p/d and the contract is for 3 months initially, with the likelihood of further extensions.  This is an IMMEDIATE START CONTRACT beginning 27/08/19.

£400 per day
London - East
Contact Name:
Rebecca Taylor

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