Trade Surveillance Analyst (3 month FTC)

THE COMPANY:

We have been exclusively instructed by our client, a boutique investment bank , who are looking to hire a Trade Surveillance Analyst on a 3 month FTC basis.

THE RESPONSIBILITIES:

• To act as the day-to-day project manager for the finalisation of the firms move to steeleye
• Continuously monitor real-time and historical trading data to detect unusual or suspicious trading patterns.
• Use surveillance systems and analytical tools to identify potential cases of market abuse
• Analyse (first stage triage) large volumes of trade data to identify trends, patterns, and potential anomalies that could indicate market abuse.
• Develop and utilise statistical models and algorithms to assess the probability of market abuse.
• Investigate alerts generated by surveillance systems to determine if there is sufficient evidence of market abuse.
• Document investigation findings and prepare detailed reports for internal stakeholders or regulatory authorities.
• Escalate confirmed cases of market abuse to compliance or legal teams
• Work closely with compliance and legal departments to ensure that surveillance activities comply with regulatory requirements.
• Assist with internal investigations and regulatory inquiries
• Stay informed about regulatory developments and changes in market abuse laws and regulations
• Ensure that surveillance activities align with current regulations and industry best practices
• Collaborate with IT and technology teams to develop, implement, and maintain trade surveillance systems and tools.
• Provide feedback on system performance and suggest improvements to enhance surveillance capabilities.
• Train and mentor junior team members in trade surveillance techniques, tools, and regulatory requirements.
• Participate in training sessions and industry conferences to stay updated on best practices and emerging trends.
• Maintain thorough records of surveillance activities, investigations, and outcomes.
• Ensure compliance with record-keeping requirements set by regulatory bodies.

EXPERIENCE REQUIRED:

• A good understanding of the regulatory landscape faced by the UK financial services industry.
• Electronic Trade Surviallance Tools, excellent Excel, PowerPoint, and Word Skills.
• Understanding of relevant policies and regulations, particularly relating to Market Abuse, Anti-Money Laundering and Financial Crime.
• Good awareness and understanding of SMCR, the FCA and regulatory framework

For further information please contact Hannah Tabatabai