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- Tasks: Monitor trading activities to ensure compliance and identify potential market abuse.
- Company: Join a leading banking institution committed to integrity and regulatory compliance.
- Benefits: Gain valuable experience in financial markets with opportunities for growth and development.
- Why this job: Be part of a crucial team that safeguards market integrity and enhances your analytical skills.
- Qualifications: Experience in compliance surveillance and proficiency in SMARTS and Bloomberg tools required.
- Other info: Opportunity to train junior team members and stay updated on global regulations.
The predicted salary is between 43200 - 72000 £ per year.
A leading banking institution is seeking a Compliance Surveillance Officer, the successful candidate will be responsible for conducting trade surveillance across Fixed Income, Currencies, and Commodities (FICC) and Equities using SMARTS & Bloomberg surveillance tools. You will play a crucial role in ensuring the integrity of the trading activities and compliance with regulatory requirements.
Key Responsibilities
- Perform daily trade surveillance across FICC and Equities to identify potential market abuse, misconduct, and compliance breaches.
- Utilize SMARTS & Bloomberg surveillance tools to monitor trading activity and generate alerts.
- Investigate and escalate potential breaches to senior compliance officers, ensuring timely resolution.
- Work closely with traders, risk teams, and senior compliance personnel to understand trading strategies and market dynamics.
- Stay up to date with global regulatory developments, including MAR, MiFID II, Dodd-Frank, and FCA guidelines.
- Contribute to the enhancement of surveillance models, system parameters, and methodologies to improve detection capabilities.
- Assist in regulatory reporting, internal audits, and responding to inquiries from regulators.
- Provide training and guidance to junior team members on surveillance best practices.
Key Requirements
- Proven experience in compliance surveillance within financial markets, with exposure to FICC and Equities.
- Strong proficiency in SMARTS and Bloomberg surveillance tools.
- Solid understanding of global market abuse regulations and trading behaviors.
- Ability to analyze large data sets and identify trading patterns indicative of misconduct.
- Excellent communication and stakeholder management skills.
- Highly analytical mindset with strong attention to detail
Trade Surveillance Officer employer: MW Recruitment Limited
Contact Detail:
MW Recruitment Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Trade Surveillance Officer
✨Tip Number 1
Familiarize yourself with SMARTS and Bloomberg surveillance tools. Since these are crucial for the role, having hands-on experience or knowledge about their functionalities can set you apart from other candidates.
✨Tip Number 2
Stay updated on global regulatory developments like MAR, MiFID II, and Dodd-Frank. Understanding these regulations will not only help you in your role but also demonstrate your commitment to compliance during the interview process.
✨Tip Number 3
Network with professionals in the compliance and trading sectors. Engaging with industry experts can provide insights into best practices and may even lead to referrals for job openings.
✨Tip Number 4
Prepare to discuss specific examples of how you've identified market abuse or compliance breaches in your previous roles. Being able to articulate your analytical skills and experiences will showcase your fit for the position.
We think you need these skills to ace Trade Surveillance Officer
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description for the Trade Surveillance Officer position. Understand the key responsibilities and requirements, especially the importance of compliance surveillance in financial markets.
Highlight Relevant Experience: In your application, emphasize your proven experience in compliance surveillance, particularly within FICC and Equities. Mention any specific projects or roles where you utilized SMARTS and Bloomberg surveillance tools.
Showcase Analytical Skills: Demonstrate your analytical mindset by providing examples of how you've analyzed large data sets to identify trading patterns. This will show your ability to detect misconduct and compliance breaches effectively.
Tailor Your Communication: Since excellent communication and stakeholder management skills are crucial for this role, ensure that your application reflects your ability to communicate complex information clearly. Use concise language and provide examples of successful collaboration with traders and compliance teams.
How to prepare for a job interview at MW Recruitment Limited
✨Know Your Tools
Make sure you are well-versed in SMARTS and Bloomberg surveillance tools. Be prepared to discuss how you've used these tools in your previous roles and how they can help in identifying market abuse and compliance breaches.
✨Understand Regulatory Frameworks
Familiarize yourself with key regulations like MAR, MiFID II, Dodd-Frank, and FCA guidelines. During the interview, demonstrate your knowledge of these regulations and how they impact trade surveillance.
✨Showcase Analytical Skills
Be ready to discuss your experience with analyzing large data sets. Provide examples of how you've identified trading patterns indicative of misconduct and how your analytical mindset has contributed to compliance efforts.
✨Communicate Effectively
Highlight your communication skills by discussing how you've collaborated with traders, risk teams, and senior compliance personnel. Emphasize your ability to convey complex information clearly and effectively to various stakeholders.
