Trade Surveillance Officer – Compliance

Role Overview

My global Trading client, is looking for a Senior Trade Surveillance Officer – Compliance to join their global compliance team. The role requires a technical understanding of Fixed Income focus trade surveillance and market abuse. The role requires experience and expertise to provide ongoing guidance and suggest improvements to the processes involved within the market abuse framework as well as chairing market abuse committees and presenting to senior internal stakeholders within the C-Suite. The role will require a strong level of technical knowledge of the Surveillance space as well the ability to effectively present findings and drive efficiency.

Responsibilities

• Reviewing daily alerts arising from the trade surveillance system software across the trading venue
• Partner with team members, assisting junior compliance staff with their reviews to ensure accuracy, completeness and logging, including performance of daily alert monitoring by the and performance of quality assurance of alerts produced by colleagues
• Performance of the annual market abuse risk assessments (MARAs) for all of the clients jurisdictions and managing the results of the assessments inline with internal controls.
• Calibration of trade surveillance alerts.
• Ensuring appropriate market abuse training
• Act as an internal Market Abuse advertisement and information centre, spreading the word about the function
• Review, maintain and improve the scope of the current Surveillance framework with ownership to alter/improve processes
• Escalation of suspected market abuse or insider trading alerts.
• Retain oversight of improvements to the monitoring framework and work collaboratively with the monitoring function.

Experience

• Experience within trading compliance
• Extensive knowledge of relevant market abuse regulations and regulators (FCA, EBA etc.)
• Experience of working with third party vendors supporting surveillance arrangements
• Experience using advanced Surveillance software for trade surveillance and electronic communications monitoring.

Benefits:

• Generous salary and eligibility for the bonus scheme