At a Glance
- Tasks: Analyse trade activity and e-communications to ensure compliance with regulations.
- Company: Join a dynamic international trading firm with a supportive compliance team.
- Benefits: Gain specialist experience, work on diverse projects, and enjoy a collaborative environment.
- Other info: Flexible work arrangement with 3 days in the office for hands-on learning.
- Why this job: Kickstart your compliance career while making a real impact in the trading world.
- Qualifications: 2+ years in trade surveillance or compliance, preferably with NASDAQ Smarts experience.
The predicted salary is between 45000 - 55000 £ per year.
Trade Surveillance Analyst
A great opportunity as arisen to join a small compliance team with an international trading firm/broker.
They are looking for someone who is keen to build their Compliance career and willing to get involved across the compliance team as well as gain specialist experience within Trade Surveillance.
The role will involve working closely with the front desks, operations, and other members of the Compliance Department to help ensure that the firm meets its legal/regulatory obligations.
- Role responsibilities
- Reviewing and analysing surveillance alerts and/or reports relating to firm and client trading activity
- Reviewing and analysing e-communication surveillance alerts and/or reports
- Properly documenting the review and resolution of the exceptions as well as escalating matters appropriately
- Communicating surveillance findings to management in a clear and concise manner
- Assisting with trade surveillance alert calibration assessments
- Assisting in the Firm’s response to enquiries received from exchanges and regulators
- Preparing relevant MI for senior management
- Conducting monitoring reviews from the Compliance Monitoring Plan
- Delivering training to front office on market conduct
- Updating compliance policies and procedures
- Assisting with system access requests for exchange trading platforms
- Gathering information and preparing documentation for regulatory STOR submissions.
- Required experience
- Experience of working within an investment bank or brokerage either in a front office compliance or Surveillance role.
- Minimum of 2 years of trade surveillance experience
- Ideally experienced with NASDAQ Smarts
- Experience in commodities would be beneficial
This is joining a great team within an excellent company environment; this role provides a great learning environment and opportunity to take responsibility but also, given the overall size of the team, there will be the opportunity to get involved in various different projects.
expectation is 3 days a week in the office.
Trade Surveillance in City of London employer: Jameson Legal
Join a well-regarded regional law firm in Bournemouth, where you will have the unique opportunity to lead the family law offering as the sole practitioner on site. The firm fosters a supportive and collaborative work culture, providing excellent employee growth opportunities and the chance to make a significant impact on the community while developing your own client base. With a competitive salary and a focus on professional development, this role is perfect for those seeking meaningful and rewarding employment in family law.
StudySmarter Expert Advice🤫
We think this is how you could land Trade Surveillance in City of London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Jameson Legal looking for candidates who are engaged and informed.
We think you need these skills to ace Trade Surveillance in City of London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Jameson Legal. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Jameson Legal
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Jameson Legal’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
