At a Glance
- Tasks: Analyse trade surveillance alerts and enhance governance processes.
- Company: Global wholesale banking business with a first-class reputation.
- Benefits: Competitive salary, professional development, and a dynamic work environment.
- Other info: Opportunities for growth in a collaborative and innovative team.
- Why this job: Join a leading firm and make a real impact in compliance and governance.
- Qualifications: Experience with trade surveillance systems and knowledge of market regulations.
The predicted salary is between 55000 - 70000 € per year.
THE COMPANY: Our client is a global wholesale banking business based in London. With an international reach, they are a truly first class employer.
THE RESPONSIBILITIES:
- Adjudicate on trade surveillance alerts for London and other entities
- Assist with the calibration of trade surveillance systems
- Identify and escalate potential regulatory breaches of MAR or firms’ policies
- 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
- Assist in the development and enhancement of Management Information
- Provide input into the annual market abuse risk assessment across all lines of business for London
- Assist in internal audit and regulatory reviews
EXPERIENCE REQUIRED:
- Experience of adjudicating alerts generated by automated trade surveillance solutions such as NASDAQ SMARTSBroker, and Bloomberg BTCA or similar systems
- Knowledge of and experience in establishing and calibrating alerts to ensure timely and effective detection of EU and UK MAR manipulation offences would be useful
- Experience of trade surveillance on algorithmic trading and commodities trading would be an advantage
- Good working knowledge of the wholesale capital markets business
Compliance Surveillance Analyst /Officer employer: Compliance Professionals
Our client is a premier global wholesale banking business located in the heart of London, offering a dynamic work environment that fosters professional growth and innovation. Employees benefit from a collaborative culture that prioritises compliance excellence and provides ample opportunities for career advancement, alongside competitive remuneration and comprehensive benefits. With a commitment to best practices and regulatory integrity, this organisation stands out as an exceptional employer for those seeking meaningful and rewarding careers in finance.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Surveillance Analyst /Officer
✨Tip Number 1
Network like a pro! Reach out to folks in the compliance and surveillance space on LinkedIn. A friendly message can go a long way, and you never know who might have the inside scoop on job openings.
✨Tip Number 2
Prepare for those interviews by brushing up on your knowledge of trade surveillance systems. Be ready to discuss your experience with tools like NASDAQ SMARTSBroker or Bloomberg BTCA, as this will show you're the real deal.
✨Tip Number 3
Don’t just apply anywhere; focus on companies that align with your values and career goals. Use our website to find roles that excite you, and tailor your approach to each one!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can keep you top of mind. Mention something specific from your chat to show you were engaged and are genuinely interested in the role.
We think you need these skills to ace Compliance Surveillance Analyst /Officer
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Surveillance Analyst role. Highlight your experience with trade surveillance systems and any relevant regulatory knowledge. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background makes you a great fit for our team. Keep it concise but impactful – we love a good story!
Showcase Relevant Experience:When filling out your application, be sure to showcase any experience you have with adjudicating alerts or working with trade surveillance tools. We’re keen on seeing how you’ve tackled similar challenges in the past.
Apply Through Our Website:Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it’s super easy – just a few clicks and you’re done!
How to prepare for a job interview at Compliance Professionals
✨Know Your Trade Surveillance Tools
Familiarise yourself with the specific trade surveillance systems mentioned in the job description, like NASDAQ SMARTSBroker and Bloomberg BTCA. Be ready to discuss your experience with these tools and how you've used them to adjudicate alerts effectively.
✨Understand Regulatory Frameworks
Brush up on the EU and UK MAR regulations, as well as any relevant compliance policies. Being able to articulate how you’ve identified and escalated potential breaches in the past will show that you’re not just knowledgeable but also proactive in compliance matters.
✨Showcase Your Analytical Skills
Prepare examples of how you've enhanced governance processes or developed new surveillance tools. Highlighting your analytical skills and your ability to improve existing systems will demonstrate your value to the team.
✨Engage with SMEs
Be prepared to discuss how you would liaise with subject matter experts across Capital Markets Compliance. Showing that you can collaborate effectively and develop best practices will set you apart as a candidate who can contribute to the team's success.
