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Trade Surveillance & Compliance

Job Title: Trade Surveillance & Compliance
Contract Type: Permanent
Location: City of London, London
Industry:
Salary: £65,000
REF: ASH17466RT/4_1548262286
Contact Name: Rebecca Taylor
Contact Email: rtaylor@ashdowngroup.com
Job Published: 3 months ago

Job Description

Trade Surveillance & Compliance/Trade Monitoring & Surveillance / Market Surveillance / Insider Trading Specialist  - London - up to £65,000  plus 10% bonus and great additional benefitAn award winning, fast growing, financial services business, are now looking for an additional Trade & Market Surveillance Analyst with experience of capital market activities such as FX, CFDs, spread betting, options, futures, equities and derivatives to join their Compliance team.

To secure the position, you will have experience gained within a trade monitoring & surveillance role, with a good awareness of Market Abuse Regulations, FCA rules and general compliance oversight functions.

Reporting to the Head of Compliance, you will:

- Monitor, investigate and communicate issues arising from your daily trade surveillance monitoring

- Maintain a database of remedial actions/recommendations arising from trade surveillance

- Develop monitoring methodology based on analysis of anomalies in trading patterns and behaviours

- Email and phone call monitoring

- Participate in investigations into incidents arising within business lines

- Escalate issues proactively and timely - submitting SARs to the NCA & STRs to the FCA where market abuse is suspected

-Review and approve financial promotions prior to their release in accordance with FCA COBS rules

- Written reports where necessary

-Be involved in wider compliance and MI projects

You should be a process driven, compliance person, who is a specialist at looking and seeing insider trading specifically.

You must have very strong excel skills (pivot tables, macros, VLOOKUPs) who can scan through thousands of trades at any one time

You will be someone who keeps abreast of and demonstrates a good working knowledge of FCA rules and regulations, as well as having a broad awareness of  market abuse, insider trading and other exchange rules and regulations as required.  You will understand their impact on the electronic surveillance monitoring programme and what the correct course of action is to deal with it.

The company offer the chance to work closely with the CEO on wider compliance projects and opportunities for training.  Starting salary is up to £65,000 plus additional 10% bonus and extensive benefits package and 25 days holiday. 

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