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For Companies At a Glance
- Tasks: Monitor trades and communications to detect suspicious market behaviour.
- Company: Reputable broker in the heart of London with a strong compliance focus.
- Benefits: Competitive salary, dynamic work environment, and opportunities for professional growth.
- Why this job: Join a vital role in safeguarding market integrity and learn about financial compliance.
- Qualifications: Experience in market surveillance or compliance, preferably with a STEM degree.
- Other info: Collaborative team atmosphere with a focus on continuous learning and development.
The predicted salary is between 40000 - 46000 £ per year.
Job Description
Rev & Regs are recruiting for a Market Surveillance Officer position for a highly regarded and well-established broker in the City of London.
The candidate will be involved with performing trade surveillance and monitoring of voice and electronic communications relating to the organisation’s trading and broking activities.
Responsibilities:
- Monitoring and closing of market surveillance alerts and electronic communications to identify suspicious behaviour that could be indicative of market abuse, insider trading, financial crime or inappropriate market conduct.
- Calibration and tailoring of monitoring systems to ensure that alerts are generated optimally and reduce false positives across trade surveillance and electronic communications systems.
- Producing and checking reliable MI on surveillance activity for the Board and governance committees on the market abuse governance and the control framework.
- Assisting with enquiries or audits relating to the firm’s market abuse framework.
- Assisting with the annual market abuse risk assessment (MARA) in line with local regulatory requirements.
- Preparing training material for staff relating to market abuse, market conduct and financial crime.
- Assisting with technical enhancements relating to compliance monitoring software (e.g. trade surveillance).
- Implementing system changes arising from changes to applicable regulations, guidance or best practice relating to market abuse, financial crime or market conduct.
- Escalating and investigating exceptions and incidents arising from market abuse and electronic communications monitoring.
Experience:
- Experience of having worked in market surveillance or compliance monitoring function.
- Market Surveillance experience within an ICE, SGX, EEX, CME environment preferred.
- Interest in financial markets, data analysis, and compliance.
- Preferable if candidate has experience with SteelEye.
- A graduate with good academic qualifications, preferably with a STEMS degree.
- Willingness to learn about the technical aspects of market surveillance.
- Team player, ability to work flexibly and tenacity.
- Strong report writing and documentation skills.
Salary – £50,000-£55,000 pa
Location – City of London
Market Surveillance Officer employer: Rev & Regs
Contact Detail:
Rev & Regs Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Market Surveillance Officer
✨Tip Number 1
Network like a pro! Reach out to professionals in the market surveillance field on LinkedIn or at industry events. We can’t stress enough how valuable personal connections can be in landing that dream job.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of market abuse and compliance monitoring. We recommend practising common interview questions and scenarios related to trade surveillance to show you’re ready to tackle the role head-on.
✨Tip Number 3
Showcase your analytical skills! During interviews, share examples of how you've used data analysis in past roles. We want to see how you can apply those skills to identify suspicious behaviour in trading activities.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Market Surveillance Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the Market Surveillance Officer role. Highlight any relevant experience in trade surveillance or compliance monitoring, and don’t forget to mention your interest in financial markets and data analysis!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about market surveillance and how your skills align with the responsibilities listed in the job description. Keep it engaging and personal!
Showcase Your Skills: Don’t just list your qualifications; demonstrate them! If you’ve got strong report writing and documentation skills, provide examples of how you’ve used these in past roles. We want to see your tenacity and team spirit!
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It’s the best way for us to receive your application and get to know you better. Don’t miss out on this opportunity!
How to prepare for a job interview at Rev & Regs
✨Know Your Market Surveillance Basics
Before the interview, brush up on your knowledge of market surveillance and compliance monitoring. Understand the key concepts like market abuse, insider trading, and financial crime. This will help you speak confidently about your experience and show that you're genuinely interested in the role.
✨Familiarise Yourself with Relevant Regulations
Make sure you’re well-versed in the regulations and guidelines that govern market conduct. Being able to discuss how these apply to the role will demonstrate your commitment to compliance and your ability to adapt to changes in the regulatory landscape.
✨Prepare Examples of Your Experience
Think of specific examples from your past work that highlight your skills in trade surveillance and data analysis. Be ready to discuss how you've handled suspicious behaviour or improved monitoring systems, as this will showcase your practical experience and problem-solving abilities.
✨Show Your Team Spirit
As a Market Surveillance Officer, you'll need to collaborate with various teams. During the interview, emphasise your ability to work flexibly and your experience as a team player. Share instances where you’ve successfully worked with others to achieve a common goal, as this will resonate well with the interviewers.