At a Glance
- Tasks: Join a compliance team to analyse trading activities and ensure regulatory obligations are met.
- Company: International trading firm with a focus on compliance and career growth.
- Benefits: Gain specialist experience, competitive salary, and opportunities for professional development.
- Other info: Dynamic environment with opportunities for training and career advancement.
- Why this job: Kickstart your compliance career while making a real impact in the trading world.
- Qualifications: 2 years of trade surveillance experience, ideally with SMARTS and commodities knowledge.
A great opportunity has arisen to join a small compliance team with an international trading firm/broker. They are looking for someone that 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
- Minimum of 2 years of Trade surveillance in a brokerage or investment bank
- Ideally experienced using SMARTS
- Ideally some experience in dealing with commodities products
Please note that where a level of preferred experience or qualification is indicated, this is a guideline only and does not preclude applications from candidates with more or less experience.
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