Market Surveillance Officer
268282007

£60,000 - £80,000 Per Annum

Full Time

Permanent

London, Greater London

Accountancy

Posted 28 days ago

Expires In 18 Hours

Job Description

Our client are a small commodities trader in the city, who are seeking a Market Surveillance Officer to join their compliance team in London.

This role would suit a tech focussed, ex-broker ideally from an exchange traded derivatives background, with some experience in market surveillance.

Role Summary:
You'll 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 EMEA regions.

Key Responsibilities:
  • Monitoring and closing of market surveillance.
  • Calibration and tailoring of monitoring systems
  • Producing and checking reliable MI on surveillance activity for the Board and governance committees
  • Assisting with enquiries or audits
  • Assisting with the annual market abuse risk assessment (MARA)
  • Reviewing policies and procedures relating to market abuse
  • Track attendant actions arising from the Board and governance meetings
  • Preparing compliance training material for staff
  • Assisting with technical enhancements relating to compliance monitoring software (e.g.
  • Implementing system changes / process improvement
  • Prepare material relating for regulators

Key Skills:
  • Working with relevant stakeholders to investigate and resolve exceptions arising from compliance monitoring.
  • Familiar with the technical aspects of using compliance surveillance software
  • Ability to multi-task and work independently and reliably.
  • Articulating findings in a clear and concise manner.
  • Demonstrating perseverance and tenacity to get the job done.

Requirements:
  • Experience of having worked in market surveillance or compliance monitoring function.
  • Interest in financial markets, data analysis, and compliance.
  • Willingness to learn about the technical aspects of market surveillance.
  • Strong report writing and documentation skills.
  • Languages - English – must be fluent, written and spoken.

Salary - £60-80k + discretionary bonus.
For more information please apply with an up to date CV.
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