A great opportunity has arisen to join a compliance team at an international trading firm/broker. They are looking for someone that has strong Trade Surveillance experience who is keen to continue to build their Compliance career and willing to get involved across wider the compliance team.
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 obligationsRole responsibilitiesReviewing and analysing surveillance alerts and/or reports relating to firm and client trading activityReviewing and analysing e-communication surveillance alerts and/or reportsProperly documenting the review and resolution of the exceptions as well as escalating matters appropriatelyCommunicating surveillance findings to management in a clear and concise mannerAssisting with trade surveillance alert calibration assessmentsAssisting in the Firm's response to enquiries received from exchanges and regulatorsPreparing relevant MI for senior managementConducting monitoring reviews from the Compliance Monitoring PlanDelivering training to front office on market conductUpdating compliance policies and proceduresAssisting with system access requests for exchange trading platformsGathering information and preparing documentation for regulatory STOR submissions.
Required experienceMinimum of 4 years of Trade surveillance in a brokerage or investment bankIdeally experienced using SMARTSIdeally some experience in dealing with commodities productsLocation: LondonRegion: London (Greater)Country: UKSalary: 80,000 - 90,000Specialisation: Financial Services, Regulatory/ComplianceSector: In-houseRole Position: Compliance/Risk RolesContract Type: PermanentHours: Full TimeExperience Level: Mid Senior Level (3-7+ years)PQE: 4-6 years, 7+ yearsReference Number: MBP-IL-18431
Market Surveillance Officer in London employer: Jameson Legal
Join a prestigious international law firm that champions innovation and invests in the future of legal delivery. As a Legal Engineer, you will be part of a dynamic team at the forefront of legal AI, collaborating with esteemed lawyers on high-value matters while enjoying a competitive salary and excellent benefits. The firm's commitment to employee growth and a supportive work culture ensures that you will have ample opportunities to develop your skills and advance your career in a cutting-edge environment.
