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. 

London - Central
Contact Name:
Rebecca Taylor

Latest Accountancy Jobs

Management Accountant

London - South / £50,000

Based near Earlsfield/Wimbledon, an accountancy practice is expanding its footprint and require an additional Management Accountant to join their team. Already employing a team of 40 professionals they offer forward-thinking solutions to a wide range of multi-disciplined customers.   By utilising the latest cloud-based solutions and a modern work formula, they provide services to meet the...

Read more

Qualified Financial Accountant

Hampshire / £42,000 pro rata

A global technology business that has been operating for almost 40 years is looking for a proven qualified Financial Accountant to join their Accounts team based in the Fleet area, Hampshire (commutable from parts of Surrey, Berkshire, Middlesex and Sussex). This will be a fixed term contract for initially 12 months. The successful candidate will...

Read more

Accounts Payable / Receivable (Part time)

London - North / £25,000

A well established, friendly and authentic consumer goods business, are now seeking a part time Bookkeeper to join their team.   Reporting to the Assistant Management Accountant, you will help with the daily operations within the accounts department. Main responsibilities will likely include;   Preparation of payment runs Statement reconciliations Credit control and production of debtors & creditors...

Read more

Exclusive roles, straight to your inbox

Not all our jobs make it online. Sign up for Job Alerts and receive our best roles first.