What you'll do:
As a Compliance Surveillance Officer, your primary responsibility will be to adjudicate trade surveillance alerts for our client's London and Dublin entities. You will assist with the calibration of trade surveillance systems, identify potential regulatory breaches, and assist with the development of processes, policies, and procedures. Your role will also involve enhancing governance processes, liaising with SMEs to develop best practices, enhancing exception reports, developing new surveillance tools, and participating in internal audits.
- Adjudicate on trade surveillance alerts for London and Dublin entities
- Assist with the calibration of trade surveillance systems
- Identify and escalate potential regulatory breaches of MAR or firms’ policies
- Assist with the development and integration of processes and drafting of policies and procedures
- Participate in the enhancement of governance processes around alert and parameter calibration
- Liaise with SMEs across Capital Markets Compliance to develop best practice
- Involved in enhancing current exceptions reports and developing new surveillance tools and reports
- Develop and enhance Management Information
- Involved in the annual market abuse risk assessment across all lines of business for London and Dublin entities
- Assist in internal audit and regulatory reviews
What you bring:
The ideal candidate for this Compliance Surveillance Officer position brings a wealth of experience in automated trade surveillance systems like NASDAQ SMARTSBroker or Bloomberg BTCA. You have a deep understanding of establishing alerts for timely detection of EU and UK MAR manipulation offences. Your experience extends to trade surveillance on algorithmic trading and commodities trading. You have a strong attention to detail, excellent communication skills, and the ability to collaborate effectively with teammates.
- Experience and knowledge of automated trade surveillance such as NASDAQ SMARTSBroker, Bloomberg BTCA or other systems would be useful
- Knowledge of establishing and calibrating alerts for timely detection of EU and UK MAR manipulation offences
- Experience of trade surveillance on algorithmic trading and commodities trading would be an advantage
- Good working knowledge of the wholesale capital markets business
- Strong attention to detail
- Ability to communicate effectively both orally and in writing with diverse personnel both externally and internally.
- Logical and practical approach to work
- Ability to meet deadlines with minimal supervision
- Ability to remain objective and take a balanced view
- Ability to collaborate effectively with teammates, leveraging diverse strengths
- Adaptable to changing business strategies
What sets this company apart:
Our client is a well-established entity in the financial sector, known for its commitment to excellence and integrity. They offer an inclusive work environment that values diversity and fosters collaboration. Their employees are given opportunities for professional growth and development, making it an ideal place for individuals who are looking to advance their careers in the financial industry.
What's next:
Ready to take the next step in your career? Apply now!
Apply today by clicking on the link provided. We look forward to receiving your application!
