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For Companies At a Glance
- Tasks: Monitor trade activities and communications to detect market abuse and financial crime.
- Company: Join a dynamic broker in the heart of London, known for its strong reputation.
- Benefits: Enjoy a competitive salary, potential for extension, and a vibrant office culture.
- Why this job: Be part of a crucial team ensuring market integrity while developing your skills in finance and compliance.
- Qualifications: Ideal candidates are graduates with a STEM degree and experience in market surveillance or compliance.
- Other info: This role offers hands-on experience in a fast-paced environment with opportunities for growth.
The predicted salary is between 48000 - 64000 £ per year.
Rev & Regs are recruiting for a contract Market Surveillance Manager position for a dynamic 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 across the UK, US and Dubai.
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.
- Track attendant actions arising from the Board and governance meetings or other ad-hoc meetings or audits.
- 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 LME environment preferred.
- Interest in financial markets, data analysis, and compliance.
- 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: £80,000 FTE
Duration: 3 months FTC (strong possibility of extension)
Location: City of London (4-5 days per week in office)
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
Familiarise yourself with the latest regulations and compliance standards related to market surveillance. Understanding the legal framework will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 2
Network with professionals in the financial services industry, especially those working in market surveillance or compliance roles. Attend relevant events or webinars to make connections that could lead to valuable insights or referrals.
✨Tip Number 3
Brush up on your data analysis skills, as they are crucial for this role. Consider taking online courses or certifications that focus on data interpretation and compliance monitoring tools to enhance your expertise.
✨Tip Number 4
Prepare to discuss real-world scenarios during your interview. Think of examples where you identified suspicious behaviour or contributed to compliance improvements, as this will showcase your practical experience and problem-solving abilities.
We think you need these skills to ace Market Surveillance Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in market surveillance or compliance monitoring. Emphasise any specific roles or projects that demonstrate your ability to monitor trade activities and identify suspicious behaviour.
Craft a Strong Cover Letter: In your cover letter, express your interest in the Market Surveillance Officer position and explain why you are a good fit. Mention your understanding of financial markets and your willingness to learn about technical aspects of market surveillance.
Highlight Relevant Skills: Focus on skills that are crucial for this role, such as data analysis, report writing, and documentation. Provide examples of how you've used these skills in previous positions to support your application.
Showcase Your Team Player Attitude: Since the job requires flexibility and teamwork, include examples from your past experiences where you successfully collaborated with others. This will demonstrate your ability to work well within a team environment.
How to prepare for a job interview at Rev & Regs
✨Know Your Market Surveillance Basics
Make sure you brush up on the fundamentals of market surveillance and compliance monitoring. Understand the key concepts like market abuse, insider trading, and financial crime, as these will likely come up during your interview.
✨Demonstrate Analytical Skills
Be prepared to discuss your experience with data analysis and how you've used it in previous roles. Highlight any specific tools or methodologies you've employed to identify suspicious behaviour or trends in trading activities.
✨Showcase Your Team Player Attitude
Since this role requires collaboration, be ready to share examples of how you've worked effectively within a team. Emphasise your flexibility and tenacity, as these traits are crucial for success in a dynamic environment.
✨Prepare for Technical Questions
Given the technical nature of the role, expect questions about compliance monitoring software and system changes. Familiarise yourself with relevant regulations and best practices to demonstrate your willingness to learn and adapt.
