Trade Surveillance Analyst

Company Overview:A leading global brokerage firm specializing in derivatives is seeking a Trade Surveillance Analyst. The ideal candidate will have some e-comm and trade surveillance experience, be highly organised, with strong attention to detail and accuracy, as well as strong numeracy skills.

Key Responsibilities:

• Monitoring of broker communications (voice and email/chat) for any potential misconduct;
• Trade reconstructions;
• Trade investigations;
• Identify and escalate any potential regulatory and exchange breaches;
• Incident resolution – detect and investigate potential breaches relating to the following:

1. Insider dealing and market manipulation including wash trades;
2. Regulatory rule breaches; and
3. Company policies and procedures

• Produce reports on any findings at weekly Compliance meetings;
• Prepare management information reports for quarterly board Meeting
• Assist with regulatory and/or exchange queries relating to orders and trades.
• Assist with the preparation of the Market Abuse Risk Assessment.
• Conduct regular training sessions for relevant stakeholders (IT, HR, Brokers, Compliance);
• Liaise and assist brokers in understanding good practice; and
• On desk advisory function
• Monitor industry development and trends including exchange circulars;
• Identify gaps in the firms monitoring and surveillance policies.
• Assisting with implementing or upgrading software systems for monitoring and surveillance;
• Identify systems and controls failings and implement remedial action;
• Liaise with IT to ensure adherence to control checks;
• Monitor effectiveness of policies and procedures; and
• Additional / ad hoc duties as required to meet the needs of the business.

Candidate Requirements:

• Must be able to work in the office 5 days per week
• 1 year+ experience in a trade surveillance or similar role at an investment firm, brokerage or bank;
• Self-motivated;
• Highly organised;
• Strong attention to detail and accuracy;
• Highly numerate and articulate;
• Strong problem-solving skills;
• Ability to work effectively within a team environment;
• Strong IT skills (in Word, Outlook, Excel, and able to learn new systems quickly)

For further information please contact Hannah Tabatabai