Compliance Professionals
Trade Surveillance Analyst (3 month FTC)
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THE COMPANY
We have been exclusively instructed by our client, a boutique investment bank, who are looking to hire a Trade Surveillance Analyst on a 3-month FTC basis.
THE RESPONSIBILITIES
- Act as the day-to-day project manager for the finalisation of the firm's move to steeleye.
- Continuously monitor real-time and historical trading data to detect unusual or suspicious trading patterns.
- Use surveillance systems and analytical tools to identify potential cases of market abuse.
- Analyse (first stage triage) large volumes of trade data to identify trends, patterns, and potential anomalies that could indicate market abuse.
- Develop and utilise statistical models and algorithms to assess the probability of market abuse.
- Investigate alerts generated by surveillance systems to determine if there is sufficient evidence of market abuse.
- Document investigation findings and prepare detailed reports for internal stakeholders or regulatory authorities.
- Escalate confirmed cases of market abuse to compliance or legal teams.
- Work closely with compliance and legal departments to ensure that surveillance activities comply with regulatory requirements.
- Assist with internal investigations and regulatory inquiries.
- Stay informed about regulatory developments and changes in market abuse laws and regulations.
- Ensure that surveillance activities align with current regulations and industry best practices.
- Collaborate with IT and technology teams to develop, implement, and maintain trade surveillance systems and tools.
- Provide feedback on system performance and suggest improvements to enhance surveillance capabilities.
- Train and mentor junior team members in trade surveillance techniques, tools, and regulatory requirements.
- Participate in training sessions and industry conferences to stay updated on best practices and emerging trends.
- Maintain thorough records of surveillance activities, investigations, and outcomes.
- Ensure compliance with record-keeping requirements set by regulatory bodies.
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EXPERIENCE REQUIRED
Get help with your application
Your very own career expert that helps elevate your application to the next level.
- A good understanding of the regulatory landscape faced by the UK financial services industry.
- Electronic Trade Surveillance Tools, excellent Excel, PowerPoint, and Word skills.
- Understanding of relevant policies and regulations, particularly relating to Market Abuse, Anti-Money Laundering, and Financial Crime.
- Good awareness and understanding of SMCR, the FCA, and regulatory framework.
For further information, please contact Hannah Tabatabai.
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