Market Surveillance Officer (FTC)

THE COMPANY:

Our client is a successful brokerage firm based in the City.  They are looking to hire a Market Surveillance Officer on an FTC basis.

THE RESPONSIBILITIES:

• Monitoring and closing of market surveillance alerts and electronic communications to identify suspicious behaviour
• Calibration and tailoring of monitoring systems to ensure that alerts are generated optimally
• Producing and checking reliable MI on surveillance functions in the firm
• Assisting with enquiries or audits relating to the firm’s market abuse framework;
• Assisting with the annual market abuse risk assessment
• Reviewing policies and procedures relating to market abuse
• Preparing training material for staff relating to market abuse, market conduct and financial crime.
• Assisting with technical enhancements relating to compliance monitoring surveillance software
• Escalating and investigating exceptions and incidents arising from market abuse and electronic communications monitoring.
• Prepare material relating to STOR or SAR notifications to regulators

EXPERIENCE REQUIRED:

• Extensive experience of having worked in market surveillance
• Interest in financial markets, data analysis, and compliance.
• Willingness to learn about the technical aspects of market surveillance.
• Team player, ability to work flexibly and tenacity.

For further information please contact Natalie Eshelby