Surveillance Officer

THE COMPANY:

Our client is a successful brokerage firm based in the City.  They are looking to hire a Surveillance Officer to assist with performing trade surveillance, monitoring of voice and electronic communications relating to the organisation’s trading and broking activities.

THE RESPONSIBILITIES:

• Review and actioning (escalation or closure) of daily market surveillance alerts and electronic communications
• identify suspicious behaviour that could be indicative of market abuse, insider trading, financial crime or inappropriate market conduct.
• Calibration and tailoring of monitoring systems, including testing to reduce false positives
• Producing timely, accurate and reliable MI on surveillance activity
• 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
• 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
• Implementing system changes arising from changes to applicable regulations
• Escalating and investigating exceptions and incidents
• Prepare material relating to STOR or SAR notifications
• Assisting with wider Compliance and AML activities

EXPERIENCE REQUIRED:

• Experience of having worked in market surveillance or compliance monitoring function.
• An interest in financial markets, data analysis, and compliance.
• Willingness to develop and enhance their knowledge of the technical aspects of market surveillance.
• Team player, ability to work flexibly and tenacity.
• Strong report writing and documentation skills.

For further information please contact Natalie Eshelby