Compliance Professionals
Surveillance Associate
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THE COMPANY
Our client is a leading worldwide broker; they are based in the City with a vast Global presence. They are looking for Surveillance Associate to assist with the Trade surveillance work day to day within a small team
THE RESPONSIBILITIES
- Reviewing and analysing surveillance alerts and/or reports relating to firm and client order and/or trading activity
- Reviewing and analysing e-communication surveillance alerts and/or reports
- Reviewing telephone communications
- 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
- Carrying out manual monitoring tasks
- Assisting in the Firm’s response to enquiries received from exchanges and regulators
- Reviewing trading error reports
- Monitoring staff’s Personal Account Dealing activity
- Preparing relevant MI for senior management
- Conducting monitoring reviews from the Compliance Monitoring Plan
- Delivering training to front office on market conduct
- Updating compliance policies and procedures
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EXPERIENCE REQUIRED
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Your very own career expert that helps elevate your application to the next level.
- Experience reviewing and processing surveillance alerts utilising surveillance
- Must have MAR experience - Trade & order surveillance
- Commodities derivatives exposure would be useful and knowledge of LME and ICE exchanges
For further information please contact Hannah Tabatabai
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