Trade Surveillance Specialist

An award winning, boutique capital markets 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 secure the position, you will have experience gained within trade and market surveillance roles, 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 Trade and Market Surveillance

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 £375 - £425p/d and the contract is for 6 months with possible extensions.  This is an IMMEDIATE START CONTRACT. 

Salary:
£425
Type:
Contract
Location:
London - Central
Sector:
Accountancy
Ref:
16845
Contact Name:
Rebecca Taylor

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