Location: London
A leading capital markets broker is looking to hire a Trade Surveillance Officer to join its growing Compliance function in London. An opportunity for someone with around 1-5 years' experience who is looking to develop their career within a fast-paced trading environment, working closely with front office and wider Compliance teams.
Key responsibilities
- Conduct trade and market surveillance across the firm's capital markets activities.
- Review and investigate alerts generated by surveillance systems, identifying potential instances of market abuse and suspicious trading activity.
- Investigate trading patterns, orders and transactions, escalating potential breaches where appropriate.
- Support the identification and investigation of potential insider dealing, market manipulation and other forms of market abuse.
- Work closely with traders, Compliance and other control functions to understand trading activity and resolve alerts.
- Assist with the development and enhancement of surveillance scenarios, thresholds and monitoring processes.
- Maintain clear and accurate records of investigations and escalation decisions.
- Support regulatory reporting and responses to internal and external compliance reviews.
- Keep up to date with developments in UK market abuse regulation, including MAR and FCA expectations.
Experience required
- 1-5 years' experience within Compliance, Trade Surveillance, Market Surveillance or a related control function.
- Practical experience of market abuse surveillance and investigations.
- Good understanding of UK MAR, FCA rules and capital markets activity.
- Exposure to trading environments such as equities, fixed income, FX, derivatives or other capital markets products.
- Strong analytical skills and the ability to investigate unusual or complex trading activity.
- Excellent attention to detail, with the confidence to challenge and escape issues.
- Strong communication skills and the ability to work effectively with front-office stakeholders.
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