Trade Surveillance / Compliance Monitoring Analyst

Quick Registration: First Name *, Last Name *, e-mail *, Phone *, Sector, Location Our client is a Global Financial Broking firm in London. Position: Client Onboarding KYC Associate. 5 days a week in London. Additional roles include: Administration Assistant – Financial Services. Our clients include a Financial Market making company and a Wealth and Asset Management firm. Date: 17 Jul 2024Sector: FINANCIAL MARKETSType: PermanentLocation: LondonSalary: £33,000 – 35,000 per annumEmail: duncan@taylorjamesresourcing.comRef: db0374723 We are seeking a candidate with 12 months Compliance / Trade Monitoring Surveillance experience to join a Trading Surveillance team. The main responsibilities include:- Assisting in market surveillance and monitoring processes of trading derivatives.- Data handling and analysis.- Trade surveillance of Derivatives trading, including Energy Contracts, Commodities, and other financial instruments.- Awareness of regulatory risks related to Market Abuse and Trade Surveillance.- Understanding trading strategies and identifying anomalous activity.- Preparing daily reports analyzing trading patterns.- Assisting in formal investigations.- Data analysis for ad hoc projects. Additional duties involve:- Monitoring communication platforms.- Trade reconstruction and investigation.- Identifying and escalating potential Regulatory and Exchange breaches.- Incident resolution, including detection and investigation of breaches.- Addressing Fraud and Market Manipulation, including Wash Trades.- Ensuring compliance with Regulatory Rules.- Documenting policies and procedures.- Reporting findings in weekly Compliance meetings and monthly reports to directors.- Participating in monthly meetings with directors.- Assisting with regulatory and exchange queries. #J-18808-Ljbffr