Trade Surveillance / Compliance Monitoring Analyst

Our client is a Global Financial Broking firm in London. We are seeking a candidate with 12 months Compliance / Trade Monitoring Surveillance experience to join a Trading Surveillance team.

The main responsibilities include:

• Assisting in market surveillance and monitoring processes of trading derivatives.
• Data handling and analysis.
• Trade surveillance of Derivatives trading, including Energy Contracts, Commodities, and other financial instruments.
• Awareness of regulatory risks related to Market Abuse and Trade Surveillance.
• Understanding trading strategies and identifying anomalous activity.
• Preparing daily reports analyzing trading patterns.
• Assisting in formal investigations.
• Data analysis for ad hoc projects.

Additional duties involve:

• Monitoring communication platforms.
• Trade reconstruction and investigation.
• Identifying and escalating potential Regulatory and Exchange breaches.
• Incident resolution, including detection and investigation of breaches.
• Addressing Fraud and Market Manipulation, including Wash Trades.
• Ensuring compliance with Regulatory Rules.
• Documenting policies and procedures.
• Reporting findings in weekly Compliance meetings and monthly reports to directors.
• Participating in monthly meetings with directors.
• Assisting with regulatory and exchange queries.