Full job descriptionRev & Regs are recruiting for a contract Senior Trade Surveillance Analyst position for a dynamic and well-established broker in the City of London.
The candidate will be involved with performing trade surveillance, monitoring of voice and electronic communications relating to the organisation’s trading and broking activities, and other Compliance monitoring.
Responsibilities:
*Review and actioning (escalation or closure) of daily market surveillance alerts and electronic communications to identify suspicious behaviour that could be indicative of market abuse, insider trading, financial crime or inappropriate market conduct.
*Calibration and tailoring of monitoring systems, and the design and parameterization of new tests, to ensure that alerts are generated optimally and reduce false positives across trade surveillance and electronic communications systems and to ensure appropriate coverage of the firm’s activities.
*Producing timely, accurate and reliable MI on surveillance activity for the Board and governance committees on the market abuse governance and the monitoring framework.
*Assisting with enquiries, regulatory engagements or other enquiries relating to the firm’s market abuse framework and monitoring framework.
*Assisting with the annual market abuse risk assessment (MARA) and Compliance Risk Assessment in line with local regulatory requirements and guidance.
*Reviewing policies and procedures relating to market abuse and electronic communications and Compliance monitoring.
*Preparing training material for staff relating to market abuse, market conduct and financial crime.
*Assisting with technical enhancements relating to compliance monitoring software (e.g. trade surveillance).
*Escalating and investigating exceptions and incidents arising from market abuse and electronic communications monitoring.
*Prepare material relating to STOR or SAR notifications to regulators, or analogous notifications to exchanges for consideration by the MLRO, and the maintenance of associated files and records.
*Assisting with wider Compliance and AML activities.
Experience:
*Experience of having worked in market surveillance or compliance monitoring function.
*An interest in financial markets, data analysis, and compliance.
*A graduate with good academic qualifications.
*Willingness to develop and enhance their knowledge of the technical aspects of market surveillance.
*Team player, ability to work flexibly and tenacity.
Salary – £60,000 - £70,000
Duration – Permanent
Location – City of London (4 days per week in office)