Surveillance Associate (LME)

THE COMPANY:

Our client is a leading world-wide broker; they are based in the City with a Global presence.  They are looking for Surveillance Associate with strong knowledge and experience of the LME.

THE RESPONSIBILITIES:

• 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

EXPERIENCE REQUIRED:

• Strong knowledge and experience of the LME contract characteristics and market structure, including LME rules and regulations.
• Experience of reviewing and processing automated surveillance alerts (NASDAQ Smarts beneficial) relating to market abuse and financial crime risks, including clear and concise escalations
• Understanding of key exchange principles and rules relating to trade negotiation, execution and off-order book transactions.
• Clear understanding of Market Abuse Regulation and how it is relevant to an LME and commodity derivatives broker.

For further information please contact Hannah Tabatabai