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- Tasks: Join our Trading Surveillance team to monitor and analyze trading activities.
- Company: Be part of a dynamic company focused on compliance and market integrity.
- Benefits: Enjoy a collaborative work environment with opportunities for professional growth.
- Why this job: Dive into a highly analytical role that impacts market fairness and compliance.
- Qualifications: Must have 12 months of experience in Compliance or Trade Monitoring.
- Other info: Ideal for numerate graduates with strong Excel skills and a passion for finance.
The predicted salary is between 36000 - 60000 £ per year.
We are looking for a candidate with 12 months Compliance / Trade Monitoring Surveillance experience to join and work within a Trading Surveillance team.
The main function of this position will be to assist in the Company’s market surveillance and monitoring processes of trading derivatives.
Ideally, you will be a numerate graduate with some financial markets experience. This is a highly analytical role, so you must have good Excel skills.
The role involves:
- Data handling and analysis
- Trade surveillance of Derivatives trading, including Energy Contracts, Commodities, and various other financial instruments
- Awareness of the regulatory risks that relate to Market Abuse and Trade Surveillance
- Understanding of different trading strategies and the ability to identify anomalous activity
- Preparation of standard daily reports analysing trading patterns and behaviour
- Assisting in the compilation of evidence for formal investigations
- Data analysis for ad hoc projects
- Communication platforms monitoring
- Trade reconstruction
- Trade investigation
- Identify and escalate any potential Regulatory and Exchange breaches
- Incident resolution – Detect and investigate potential breaches
- Fraud and Market Manipulation including Wash Trades
- Regulatory Rule breaches
- Policies and procedures
- Report findings at weekly Compliance meetings
- Monthly reports on findings to directors
- Monthly meeting with directors to discuss findings
- Assist with regulatory and/or exchange queries
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Trade Surveillance / Compliance Monitoring Analyst employer: Taylor James Resourcing
Contact Detail:
Taylor James Resourcing Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Trade Surveillance / Compliance Monitoring Analyst
✨Tip Number 1
Familiarize yourself with the latest regulations and compliance standards related to market abuse and trade surveillance. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in this fast-paced field.
✨Tip Number 2
Enhance your Excel skills by practicing data analysis techniques relevant to trading patterns. Being able to showcase your analytical abilities with real examples during discussions can set you apart from other candidates.
✨Tip Number 3
Network with professionals in the trading and compliance sectors. Engaging with industry experts can provide insights into the role and may even lead to referrals, increasing your chances of landing an interview with us.
✨Tip Number 4
Prepare to discuss specific trading strategies and how you would identify anomalous activities. Having a clear understanding of these concepts will show that you are ready to contribute effectively to our Trading Surveillance team.
We think you need these skills to ace Trade Surveillance / Compliance Monitoring Analyst
Some tips for your application 🫡
Highlight Relevant Experience: Make sure to emphasize your 12 months of Compliance or Trade Monitoring Surveillance experience in your application. Use specific examples that demonstrate your analytical skills and familiarity with financial markets.
Showcase Excel Proficiency: Since this role requires good Excel skills, mention any relevant projects or tasks where you utilized Excel for data analysis. Consider including specific functions or tools you are proficient in.
Understand Regulatory Risks: Demonstrate your awareness of regulatory risks related to Market Abuse and Trade Surveillance in your cover letter. This shows that you understand the compliance landscape and can contribute effectively to the team.
Prepare for Reporting Responsibilities: Mention your experience with preparing reports and analyzing trading patterns. Highlight any previous roles where you reported findings to management or participated in compliance meetings.
How to prepare for a job interview at Taylor James Resourcing
✨Showcase Your Analytical Skills
Since this role is highly analytical, be prepared to discuss your experience with data analysis and how you've used Excel in previous roles. Bring examples of how you've handled large datasets or conducted analyses that led to actionable insights.
✨Understand Market Surveillance
Familiarize yourself with the concepts of market surveillance and trade monitoring. Be ready to explain how you would identify anomalous trading activities and what regulatory risks are associated with market abuse.
✨Demonstrate Financial Markets Knowledge
Make sure you can discuss different trading strategies and financial instruments, especially derivatives. Showing that you understand the nuances of energy contracts and commodities will set you apart from other candidates.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions where you might need to identify potential regulatory breaches or suggest incident resolution strategies. Practice articulating your thought process clearly and logically.
