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- Tasks: Monitor and analyze trade activities to identify suspicious behavior and ensure compliance.
- Company: Join an International Financial Institution with a strong reputation in the financial sector.
- Benefits: Enjoy a hybrid work model and opportunities for professional growth.
- Why this job: Be part of a dynamic team focused on market integrity and financial crime prevention.
- Qualifications: Must have UK trade surveillance experience and a degree in a relevant field.
- Other info: Contact Judith Webb with your CV to apply and reference job 16845JW.
The predicted salary is between 48000 - 72000 £ per year.
It is essential for all applicants to have UK experience of Trade Surveillance from a Bank or Brokers.
Our client, an International Financial Institution, is seeking a Treasury/Commodities Trade Surveillance professional to join their team on a permanent basis. This is a hybrid position.
Main Responsibilities:
- Undertake monitoring and surveillance for the firm in accordance with the agreed framework and procedures, ensuring the identification/escalation of suspicious activity that could be indicative of market abuse, financial crime, or inappropriate market conduct.
- Working with the Head and Deputy Head of Compliance, undertake the annual review of the Market Abuse Risk Assessment (MARA), applicable policies, procedures, and internal controls to maintain a strong compliance framework with a view to managing/mitigating compliance risk.
- Maintain the compliance monitoring systems, ensuring alert scenarios are calibrated appropriately to reduce false positives across trade surveillance and communications systems.
- Using the existing framework, undertake the annual and ongoing assessment of active alert scenarios, including against available scenarios in the trade surveillance system, to ensure the live scenarios remain appropriate for the firm’s activities based on the business conducted and the risks identified in the MARA; maintain the assessment process documentation.
- Undertake assessments of alerts and parameters settings and surveillance activities in response to any changes in the firm’s business model or in response to 3rd party/regulatory enquiries.
- Review reports, risk indicators, and red flags to identify and propose remedial action to improve the control framework.
- Lead the firm’s response to exchange/regulatory monitoring and surveillance-related enquiries and audits; gather all applicable information, provide appropriate analysis, and draft the firm’s response for review by the Head of Compliance.
- Undertake the submission to the exchanges for client-related information.
- Review the firm’s monitoring and surveillance-related policies and procedures, including the Market Abuse, STOR/SAR Policies, and Trade Monitoring Procedures.
- Ensure the Trade Monitoring Procedures address all new, applicable regulations and the end-to-end case management process remains relevant.
- Maintain market abuse and financial crime-related logs and registers, including STOR/SAR/near-miss logs/registers.
- Maintain other compliance monitoring and surveillance-related logs and registers, including Conflicts of Interest Register, PA Dealing Register, Third Party Payments, etc.
- Produce MI on monitoring and surveillance-related information and statistics for compliance reports (quarterly and ad hoc reporting) and the annual MLRO report.
Key Skills:
- Degree educated (science-based, mathematics, computer science advantageous)
- Strong knowledge of UK/EU regulatory framework and in particular Market Abuse Regulation (MAR)
- 3-5 years experience in a trade surveillance role at a brokerage or bank covering commodities markets
- Knowledge of wholesale commodities markets Rules and Regulations
- Experience in liaising with exchange compliance/market regulation functions
For more information on this role please contact Judith Webb by sending your CV and quoting ref 16845JW.
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Treasury/Commodities Trade Surveillance employer: Barbara Houghton Associates
Contact Detail:
Barbara Houghton Associates Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Treasury/Commodities Trade Surveillance
✨Tip Number 1
Make sure to highlight your UK experience in Trade Surveillance prominently during the interview. Discuss specific examples where you identified suspicious activities and how you escalated them, as this will demonstrate your practical knowledge and expertise.
✨Tip Number 2
Familiarize yourself with the Market Abuse Regulation (MAR) and be prepared to discuss how it impacts trade surveillance. Showing a deep understanding of the regulatory framework will set you apart from other candidates.
✨Tip Number 3
Network with professionals in the commodities market and compliance sectors. Attend industry events or webinars to connect with others who may provide insights or referrals that could help you land the job.
✨Tip Number 4
Prepare to discuss your experience with compliance monitoring systems and how you've calibrated alert scenarios in the past. Being able to articulate your technical skills in this area will show that you're ready to take on the responsibilities of the role.
We think you need these skills to ace Treasury/Commodities Trade Surveillance
Some tips for your application 🫡
Highlight Relevant Experience: Make sure to emphasize your UK experience in Trade Surveillance, particularly any roles you've held at banks or brokers. Detail specific responsibilities and achievements that align with the job description.
Showcase Compliance Knowledge: Demonstrate your understanding of the UK/EU regulatory framework, especially the Market Abuse Regulation (MAR). Include examples of how you've applied this knowledge in previous roles.
Tailor Your CV: Customize your CV to reflect the key skills and responsibilities mentioned in the job description. Use relevant keywords and phrases to ensure your application stands out to recruiters.
Craft a Strong Cover Letter: Write a compelling cover letter that outlines your motivation for applying and how your background makes you a perfect fit for the role. Address specific aspects of the job description and express your enthusiasm for the position.
How to prepare for a job interview at Barbara Houghton Associates
✨Showcase Your Trade Surveillance Experience
Make sure to highlight your previous experience in trade surveillance, especially within a bank or brokerage. Be prepared to discuss specific examples of how you've identified and escalated suspicious activities, as this is crucial for the role.
✨Demonstrate Knowledge of Regulatory Frameworks
Familiarize yourself with the UK/EU regulatory frameworks, particularly the Market Abuse Regulation (MAR). During the interview, be ready to discuss how these regulations impact trade surveillance and compliance practices.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your ability to handle real-life situations related to market abuse and financial crime. Think through potential scenarios you might face in the role and how you would respond effectively.
✨Discuss Your Analytical Skills
Since the role involves assessing alerts and reviewing risk indicators, be prepared to talk about your analytical skills. Share examples of how you've used data analysis to improve compliance monitoring systems or reduce false positives in trade surveillance.
