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- Tasks: Monitor market abuse and trade surveillance, providing compliance advice and support.
- Company: Join Tradition, a leading interdealer broker with a global presence and a commitment to client service.
- Benefits: Enjoy a collaborative work environment with opportunities for training and potential overseas travel.
- Why this job: Be part of a team that values creativity, integrity, and teamwork in a dynamic financial sector.
- Qualifications: Knowledge of FCA rules and experience with regulatory documentation are essential.
- Other info: Diversity is valued; all applications are welcome regardless of background.
The predicted salary is between 36000 - 60000 £ per year.
Tradition is the interdealer broking arm of Compagnie Financière Tradition and one of the world's largest interdealer brokers in over-the-counter financial and commodity related products. CFT is represented in over 28 countries, employing over 2,500 people. Tradition’s goal is to provide superior client services. It believes its business success is a direct reflection of its employees and recruits. As such, teamwork, creativity, reliability and integrity are components of a work ethic taken very seriously since the company was founded in 1959.
Tradition is currently seeking to appoint a Monitoring & Surveillance Analyst based in London. Main responsibilities within the Monitoring & Surveillance Analyst position include:
- Market Abuse monitoring & Trade Surveillance using Scila and LiquidMetrix tools
- Providing compliance advice to Front Office/Business
- Collaborating with FORC and support Front Office, including training
- Monitoring communications with Shield Surveillance system
- Performing Best Execution monitoring
- Handling Exchange/Regulatory inquiries
- Registering Traders on EUREX, CME, ICE, and DMA via ABN AMRO clearing
- PA Dealing and adhoc investigations
- Reviewing policies & procedures per Compliance Monitoring Plan
- Overseeing regulatory registrations, management reporting, trade query setups, and assist with transaction reporting processes
- General Compliance Administration duties
- Potential overseas travel may be required
- Supporting colleagues when required
Key skills, experience and competencies required in this role:
- Good knowledge of the FCA rules, in particular COBS, SYSC, SUP and FIT
- Understanding of European Directives and other regulatory rules
- Knowledge of the firms’ products including cash equities and securities, equity and commodity derivatives and money markets
- Knowledge of cash and derivatives exchange rules e.g. Euronext, Eurex, LSE
- Experience of dealing with formal documentation
- Ability to read and understand regulatory rules, consultation papers and legal documents
Tradition welcome all suitable applications and are an equal opportunity employer who value diversity. All employment is decided on the basis of qualifications and merit.
By applying for this role, you agree that we may retain your details on our system for a period of 6 months and may contact you for any future vacancies that may arise within the Tradition Group.
Monitoring & Surveillance Analyst employer: Tradition
Contact Detail:
Tradition Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Monitoring & Surveillance Analyst
✨Tip Number 1
Familiarise yourself with the specific tools mentioned in the job description, such as Scila and LiquidMetrix. Having hands-on experience or knowledge about these tools can set you apart during interviews.
✨Tip Number 2
Brush up on your understanding of FCA rules and European Directives. Being able to discuss these regulations confidently will demonstrate your expertise and commitment to compliance.
✨Tip Number 3
Network with professionals in the finance and compliance sectors. Attend industry events or join relevant online forums to connect with others who may provide insights or referrals for the role.
✨Tip Number 4
Prepare to discuss real-world scenarios where you've applied compliance knowledge or handled regulatory inquiries. This practical experience can showcase your problem-solving skills and readiness for the role.
We think you need these skills to ace Monitoring & Surveillance Analyst
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Monitoring & Surveillance Analyst. Familiarise yourself with market abuse monitoring, trade surveillance tools like Scila and LiquidMetrix, and compliance regulations.
Tailor Your CV: Highlight relevant experience in compliance, regulatory knowledge, and familiarity with financial products. Make sure to include any specific tools or systems you've worked with that relate to the job description.
Craft a Strong Cover Letter: Use your cover letter to demonstrate your understanding of the FCA rules and your ability to provide compliance advice. Mention your teamwork skills and how they align with Tradition's values of creativity, reliability, and integrity.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors. Ensure that all information is accurate and clearly presented, as attention to detail is crucial in this role.
How to prepare for a job interview at Tradition
✨Know Your Regulations
Familiarise yourself with the FCA rules, particularly COBS, SYSC, SUP, and FIT. Being able to discuss these regulations confidently will demonstrate your understanding of the compliance landscape that the Monitoring & Surveillance Analyst role operates within.
✨Showcase Your Technical Skills
Be prepared to discuss your experience with tools like Scila and LiquidMetrix. Highlight any specific instances where you've used these tools for market abuse monitoring or trade surveillance, as this will show your practical knowledge relevant to the position.
✨Demonstrate Teamwork and Collaboration
Tradition values teamwork highly, so be ready to share examples of how you've successfully collaborated with colleagues in previous roles. Discuss any training or support you've provided to others, as this aligns with the responsibilities of the role.
✨Prepare for Compliance Scenarios
Think about potential compliance scenarios you might face in the role and how you would handle them. This could include responding to regulatory inquiries or managing trade queries. Showing that you can think critically about compliance issues will set you apart.
