Surveillance Associate

THE COMPANY:

Our client is a leading world-wide broker; they are based in the City with a vast Global presence.  They are looking for Surveillance Associate to assist with the Trade surveillance work day to day  within a small team

THE RESPONSIBILITIES:

• Reviewing and analysing surveillance alerts and/or reports relating to firm and client order and/or trading activity
• Reviewing and analysing e-communication surveillance alerts and/or reports
• Reviewing telephone communications
• 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
• Carrying out manual monitoring tasks
• Assisting in the Firm’s response to enquiries received from exchanges and regulators
• Reviewing trading error reports
• Monitoring staff’s Personal Account Dealing activity
• Preparing relevant MI for senior management
• Conducting monitoring reviews from the Compliance Monitoring Plan
• Delivering training to front office on market conduct
• Updating compliance policies and procedures

EXPERIENCE REQUIRED:

• Experience reviewing and processing surveillance alerts utilising surveillance
• Must have MAR experience – Trade & order surveillance
• Commodities derivatives exposure would be useful and knowledge of  LME and ICE exchanges

For further information please contact Hannah Tabatabai