Full job description ***Compliance - Monitoring & Surveillance Associate*** A leading commodities trading firm with a strong global presence requires an experienced Compliance surveillance professional to join their London team.
DUTIES & RESPONSIBILITIES OF A COMPLIANCE MONITORING & SURVEILLANCE ASSOCIATE
*Reviewing and analysing surveillance alerts and/or reports relating to firm and client trading activity
*Reviewing and analysing e-communication surveillance alerts and/or reports
*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
QUALITIES AND ATTRIBUTES NEEDED TO BE A COMPLIANCE MONITORING & SURVEILLANCE ASSOCIATE
You will have a minimum of 5 years’ trade surveillance experience coupled with a strong working knowledge of the LME rules and regulations. Salary up to £85K plus bonus and benefits. Hybrid working available. Please contact me for more details.