Trade Surveillance SME
City Of London
Contractor
Compliance
Investment Banking
£400.00 - £560.00Day
Trade Surveillance Analyst
Location: London, United Kingdom
Are you passionate about analysing trading activity and ensuring compliance with market regulations? Our client, a leading investment services organisation, is seeking a Trade Surveillance Analyst to join their Global Surveillance team. As a Trade Surveillance Analyst, you will play a crucial role in monitoring, reviewing, and analysing the firm's trading activities to ensure compliance with market abuse and anti-competition regulations.
Responsibilities:
- Act as the first reviewer of exceptions arising from surveillance tools, analysing and reviewing all exceptions to resolution.
- Conduct targeted surveillance on higher-risk events and provide written reports with evaluative commentaries.
- Monitor trades to ensure the firm achieves best execution for clients.
- Provide analysis and develop reports on account activities, market manipulation, and broker-dealer practises.
- Write and maintain documented processes for tasks and team documentation.
- Develop enhancements to existing surveillance controls, deliver training, and update procedure documentation.
- Stay updated on regulatory standards, develop findings and procedure reports, and ensure compliance.
- Attend key business committees and external events as a representative of the Global Surveillance Team.
- Design, implement, and deliver training to ensure employees have up-to-date knowledge.
- Lead internal and external audits and compliance monitoring reviews.
- Conduct daily scans of sanctions screening database, analyse flagged alerts, and provide client profiles.
Requirements:
- Strong understanding of market abuse regulations and anti-competition laws.
- Experience in trade surveillance and conducting targeted surveillance.
- Knowledge of post-trade surveillance, electronic communications surveillance, and telephone surveillance.
- Excellent analytical and investigative skills.
- Strong written and verbal communication skills.
- Ability to present analysis and reports to management, committees, and groups.
- Familiarity with developing and maintaining documented processes.
- Understanding of regulatory standards and compliance requirements.
- Ability to stay updated on regulatory updates and findings.
- Experience in training development and delivery.
- Ability to lead audits and compliance monitoring reviews.
- Strong attention to detail and ability to multi-task in a fast-paced environment.
At our client, you will have the opportunity to work with a dynamic and collaborative team of professionals in the investment services industry. Join our client's global organisation and contribute to their commitment to providing excellent service to clients worldwide.
If you are passionate about trade surveillance and keen to make an impact in a reputable organisation, apply now. Our client offers a competitive salary and benefits package, along with excellent opportunities for professional growth and development.
Please note that only successful applicants will be contacted.
Our client is an equal opportunity employer and values diversity in their workforce. They embrace diversity of perspectives, backgrounds, and experiences, and welcome applications from all qualified individuals.
Keywords: Trade Surveillance Analyst, Investment Services, Compliance, Market Abuse, Anti-Competition, Trading, Surveillance Tools, Analytical Skills, Regulatory Standards, Communication Skills, Training Development, Audits, Global Organisation.
LHH is an employment consultancy that believes in talent, not labels. It is important to us that we run inclusive recruitment processes to support candidates of all abilities and encourage applicants of all backgrounds and perspectives to apply. LHH is committed to building an inclusive, supportive environment to enable candidates to explore the next steps in their careers. If you require reasonable adjustments at any stage, please let us know and we will be happy to support you.
Trade Surveillance SME
LHH
8 days ago
£400.00 - £560.00Day
Contractor
Compliance
Investment Banking
City Of London
Trade Surveillance Analyst
Location: London, United Kingdom
Are you passionate about analysing trading activity and ensuring compliance with market regulations? Our client, a leading investment services organisation, is seeking a Trade Surveillance Analyst to join their Global Surveillance team. As a Trade Surveillance Analyst, you will play a crucial role in monitoring, reviewing, and analysing the firm's trading activities to ensure compliance with market abuse and anti-competition regulations.
Responsibilities:
- Act as the first reviewer of exceptions arising from surveillance tools, analysing and reviewing all exceptions to resolution.
- Conduct targeted surveillance on higher-risk events and provide written reports with evaluative commentaries.
- Monitor trades to ensure the firm achieves best execution for clients.
- Provide analysis and develop reports on account activities, market manipulation, and broker-dealer practises.
- Write and maintain documented processes for tasks and team documentation.
- Develop enhancements to existing surveillance controls, deliver training, and update procedure documentation.
- Stay updated on regulatory standards, develop findings and procedure reports, and ensure compliance.
- Attend key business committees and external events as a representative of the Global Surveillance Team.
- Design, implement, and deliver training to ensure employees have up-to-date knowledge.
- Lead internal and external audits and compliance monitoring reviews.
- Conduct daily scans of sanctions screening database, analyse flagged alerts, and provide client profiles.
Requirements:
- Strong understanding of market abuse regulations and anti-competition laws.
- Experience in trade surveillance and conducting targeted surveillance.
- Knowledge of post-trade surveillance, electronic communications surveillance, and telephone surveillance.
- Excellent analytical and investigative skills.
- Strong written and verbal communication skills.
- Ability to present analysis and reports to management, committees, and groups.
- Familiarity with developing and maintaining documented processes.
- Understanding of regulatory standards and compliance requirements.
- Ability to stay updated on regulatory updates and findings.
- Experience in training development and delivery.
- Ability to lead audits and compliance monitoring reviews.
- Strong attention to detail and ability to multi-task in a fast-paced environment.
At our client, you will have the opportunity to work with a dynamic and collaborative team of professionals in the investment services industry. Join our client's global organisation and contribute to their commitment to providing excellent service to clients worldwide.
If you are passionate about trade surveillance and keen to make an impact in a reputable organisation, apply now. Our client offers a competitive salary and benefits package, along with excellent opportunities for professional growth and development.
Please note that only successful applicants will be contacted.
Our client is an equal opportunity employer and values diversity in their workforce. They embrace diversity of perspectives, backgrounds, and experiences, and welcome applications from all qualified individuals.
Keywords: Trade Surveillance Analyst, Investment Services, Compliance, Market Abuse, Anti-Competition, Trading, Surveillance Tools, Analytical Skills, Regulatory Standards, Communication Skills, Training Development, Audits, Global Organisation.
LHH is an employment consultancy that believes in talent, not labels. It is important to us that we run inclusive recruitment processes to support candidates of all abilities and encourage applicants of all backgrounds and perspectives to apply. LHH is committed to building an inclusive, supportive environment to enable candidates to explore the next steps in their careers. If you require reasonable adjustments at any stage, please let us know and we will be happy to support you.