Jameson Legal
Trade Surveillance
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Trade Surveillance Analyst
A great opportunity has arisen to join a small compliance team with an international trading firm/broker. They are looking for someone who is keen to build their Compliance career and willing to get involved across the compliance team as well as gain specialist experience within Trade Surveillance. The role will involve working closely with the front desks, operations, and other members of the Compliance Department to help ensure that the firm meets its legal/regulatory obligations.
Role 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
- Delivering training to front office on market conduct
- Updating compliance policies and procedures
- Assisting with system access requests for exchange trading platforms
- Gathering information and preparing documentation for regulatory STOR submissions
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- Experience of working within an investment bank or brokerage either in a front office compliance or Surveillance role.
- Minimum of 2 years of trade surveillance experience
- Ideally experienced with NASDAQ Smarts
- Experience in commodities would be beneficial
This is joining a great team within an excellent company environment; this role provides a great learning environment and opportunity to take responsibility but also, given the overall size of the team, there will be the opportunity to get involved in various different projects.
Expectation is 3 days a week in the office.
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