Job Details
Job Details
Our client are a small commodities trader in the city, who are seeking a Market Surveillance Officer to join their compliance team in London.
This role would suit a tech focussed, ex-broker ideally from an exchange traded derivatives background, with some experience in market surveillance.
Role Summary:
You'll be involved with performing trade surveillance and monitoring of voice and electronic communications relating to the organisation’s trading and broking activities across the UK, US and EMEA regions.
Key Responsibilities:
Key Skills:
Requirements:
Salary - £60-80k + discretionary bonus.
For more information please apply with an up to date CV.
This role would suit a tech focussed, ex-broker ideally from an exchange traded derivatives background, with some experience in market surveillance.
Role Summary:
You'll be involved with performing trade surveillance and monitoring of voice and electronic communications relating to the organisation’s trading and broking activities across the UK, US and EMEA regions.
Key Responsibilities:
- Monitoring and closing of market surveillance.
- Calibration and tailoring of monitoring systems
- Producing and checking reliable MI on surveillance activity for the Board and governance committees
- Assisting with enquiries or audits
- Assisting with the annual market abuse risk assessment (MARA)
- Reviewing policies and procedures relating to market abuse
- Track attendant actions arising from the Board and governance meetings
- Preparing compliance training material for staff
- Assisting with technical enhancements relating to compliance monitoring software (e.g.
- Implementing system changes / process improvement
- Prepare material relating for regulators
Key Skills:
- Working with relevant stakeholders to investigate and resolve exceptions arising from compliance monitoring.
- Familiar with the technical aspects of using compliance surveillance software
- Ability to multi-task and work independently and reliably.
- Articulating findings in a clear and concise manner.
- Demonstrating perseverance and tenacity to get the job done.
Requirements:
- Experience of having worked in market surveillance or compliance monitoring function.
- Interest in financial markets, data analysis, and compliance.
- Willingness to learn about the technical aspects of market surveillance.
- Strong report writing and documentation skills.
- Languages - English – must be fluent, written and spoken.
Salary - £60-80k + discretionary bonus.
For more information please apply with an up to date CV.