At a Glance
- Tasks: Analyse trade activities and ensure compliance with regulations while collaborating with various teams.
- Company: Join a dynamic international trading firm with a supportive compliance team.
- Benefits: Gain valuable experience, work in a collaborative environment, and enjoy a flexible work schedule.
- Other info: Opportunity to engage in diverse projects and develop your skills in a great learning environment.
- Why this job: Kickstart your compliance career and make 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.
A great opportunity has 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. The expectation is 3 days a week in the office.
Trade Surveillance employer: Jameson Legal
As a leading commercial law firm in London, we pride ourselves on fostering a collaborative and supportive work culture that empowers our solicitors to take ownership of their projects while contributing to the growth of the practice. Our comprehensive benefits package and flexible working arrangements reflect our commitment to employee well-being, while the opportunity for professional development and mentorship ensures that our team members can build a rewarding and sustainable career in real estate law. Join us to be part of a close-knit team that values your expertise and encourages meaningful contributions across a diverse range of high-profile transactions.
