£60,000 - £80,000 Per Annum
Full Time
Permanent
London, Greater London
Accountancy
Posted 29 days ago
Expires In 2 Hours
Job Description
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.
Sam Perry
sam.perry@executivenetworkgroup.co.uk
0121 450 5000
Division 268
Network HR Birmingham
Westbourne Manor
17 Westbourne Road
Edgbaston
Birmingham
West Midlands
B15 3TR
0121 450 5030
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