Trade Surveillance Associate
Join us as a Trade Surveillance Associate
- This role will see you supporting the execution of trade surveillance controls and monitoring trading activities to ensure compliance with market conduct policies
- With your analytical capability, you’ll also be assisting with the in-depth analysis of alerts, including the use of market data and source system data
- This could be an excellent opportunity to showcase your skills and expertise, in an environment where we take a real interest in your development
In this key role, you’ll be providing surveillance services to the businesses and their service offerings, acting within the procedures of the surveillance operating model. You’ll also proactively identify potential or actual emerging market abuse type risks to make sure that the surveillance activities provide appropriate mitigation to manage the risks back within appetite.
Additionally, we’ll look to you to:
- Providing expert input on the market conduct and subsequent risk mitigation
- Analysing activity for potential flags and escalating appropriately
- Assisting in providing in-depth analysis of alerts, including the use of market data, source system data, and market data
- Contributing to improving our existing surveillance systems as well as assisting in driving new technological solutions
- Supporting the development and implementation of an annual surveillance programme of work
To be successful in this role, you’ll be educated to a degree level or hold a CA or MBA, coupled with exposure in risk and control, with cumulative operations work experience. You’ll have a good understanding of the financial markets, particularly in the context of conduct issues, along with experience working with and analysing trading data.
Excellent logical and analytical skills are essential, alongside strong attention to detail and an understanding of client centricity. Advanced Microsoft Excel skills and VBA knowledge would also be an advantage.
You’ll also need:
- A good understanding of compliance and conduct risk, and a basic broader knowledge of financial regulation
- Knowledge of products, markets and financial theory, particularly around pricing and valuation
- The ability to work with trading data and develop and apply quantitative analysis
- Good communication skills, particularly in writing
- The ability to work effectively individually and as part of a team
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