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- Tasks: Monitor trading activities and ensure compliance with regulations.
- Company: Join a boutique investment firm focused on equity markets and retail platforms.
- Benefits: Gain experience in a dynamic environment with opportunities for growth.
- Why this job: Be at the forefront of regulatory compliance and make a real impact.
- Qualifications: Experience in trade surveillance and knowledge of market regulations required.
- Other info: Work closely with compliance teams and engage with regulatory agencies.
The predicted salary is between 43200 - 72000 £ per year.
THE COMPANY: Our client is a boutique investment and trading firm, providing services such as Equity Markets and Retail Platforms for institutional and private clients.
THE RESPONSIBILITIES:
- Monitor trading activities for suspicious behaviour and potential violations of regulations.
- Create and document daily alert review and escalation process for MAR Surveillance.
- Escalate to the Head of Compliance any issues/findings that may involve violations of rules and regulations.
- Prepare material relating to STOR or SAR notifications to regulators or other authorities.
- Ongoing maintenance of systems, review of alert settings and testing system parameters.
- Provide ad-hoc advice to the business and keep up with the regulatory landscape, and the impact of changes as well as providing updates to the business and the executive committee as appropriate.
- Review/build out Compliance Monitoring Plan / Surveillance programme, assisting the wider compliance team.
- Identify and escalate current regulatory issues to ensure the firm remains in compliance with its obligations.
- Review current/future regulatory changes and provide recommendations to the business on the likely impact.
- Manage compliance IT projects, specifically for the ongoing improvement of the firm’s monitoring and surveillance systems.
- Undertake monitoring reviews in line with the Compliance Monitoring Plan.
- Report compliance monitoring and surveillance program status and activities.
- Produce monthly Management Information in respect of monitoring and surveillance program and Consumer Duty, also ad-hoc reports as required.
- Handle staff dealing approval, monitoring and review staff dealing-related reports.
- Handle Directory of Person applications to the FCA.
- Support disclosures of interest and other regulatory reporting and filing.
- Support regulatory filing and liaise with UK on their enquiries.
EXPERIENCE REQUIRED:
- Experience in a trade monitoring/trade surveillance function in a trading, brokerage, gambling or banking environment.
- Thorough understanding of Market Abuse Regulations including practices and procedures of market standards within the securities industry and/or investment banking industry.
- Knowledge of the rules and regulations of the UK FCA and other applicable regulatory agencies.
- Experience conducting trade surveillance reviews.
- Sound understanding of Compliance responsibilities, practices and procedures within the securities industry.
- Knowledge of Financial markets and products.
For further information please contact Duncan Jeffery.
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Trade Surveillance Officer employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Trade Surveillance Officer
✨Tip Number 1
Familiarize yourself with the Market Abuse Regulations (MAR) and the specific compliance requirements of the UK FCA. Understanding these regulations will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 2
Network with professionals in the trading and compliance sectors. Attend industry events or webinars to connect with people who can provide insights into the role and potentially refer you to opportunities at firms like ours.
✨Tip Number 3
Stay updated on current trends and changes in financial regulations. Being knowledgeable about recent developments will show that you are proactive and engaged, which is crucial for a Trade Surveillance Officer.
✨Tip Number 4
Prepare to discuss specific examples from your past experience where you successfully identified and escalated compliance issues. This will highlight your practical knowledge and problem-solving skills during the interview process.
We think you need these skills to ace Trade Surveillance Officer
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description and understand the responsibilities of a Trade Surveillance Officer. Highlight your relevant experience in trade monitoring and compliance in your application.
Tailor Your CV: Customize your CV to reflect your experience in trade surveillance, market abuse regulations, and compliance practices. Use specific examples from your past roles that demonstrate your understanding of the regulatory landscape.
Craft a Strong Cover Letter: Write a compelling cover letter that explains why you are a great fit for the position. Mention your familiarity with the UK FCA regulations and your experience in conducting trade surveillance reviews.
Highlight Relevant Skills: In your application, emphasize skills such as analytical thinking, attention to detail, and your ability to manage compliance IT projects. These are crucial for the role and should be clearly presented.
How to prepare for a job interview at Compliance Professionals
✨Understand Market Abuse Regulations
Make sure you have a solid grasp of Market Abuse Regulations and how they apply to trading activities. Be prepared to discuss specific examples of how you've monitored for suspicious behavior in previous roles.
✨Showcase Your Compliance Knowledge
Demonstrate your understanding of compliance responsibilities and practices within the securities industry. Highlight any experience you have with regulatory agencies like the UK FCA and how you've navigated compliance challenges.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions where you may need to identify potential violations or suggest improvements to monitoring systems. Practice articulating your thought process clearly and logically.
✨Discuss Your Technical Skills
Be ready to talk about your experience with compliance IT projects and any systems you've used for trade surveillance. Highlight your ability to maintain and improve monitoring systems, as this is crucial for the role.
