We are looking for a candidate with 12 months Compliance / Trade Monitoring Surveillance experience to join and work within a Trading Surveillance team.
The main function of this position will be to assist in the Company's market surveillance and monitoring processes of trading derivatives.
Ideally, you will be a numerate graduate with some financial markets experience. This is a highly analytical role, so you must have good Excel skills.
The role involves:
- Data handling and analysis
- Trade surveillance of Derivatives trading, including Energy Contracts, Commodities, and various other financial instruments
- Awareness of the regulatory risks that relate to Market Abuse and Trade Surveillance
- Understanding of different trading strategies and the ability to identify anomalous activity
- Preparation of standard daily reports analysing trading patterns and behaviour
- Assisting in the compilation of evidence for formal investigations
- Data analysis for ad hoc projects
- Communication platforms monitoring
- Trade reconstruction
- Trade investigation
- Identify and escalate any potential Regulatory and Exchange breaches
- Incident resolution - Detect and investigate potential breaches
- Fraud and Market Manipulation including Wash Trades
- Regulatory Rule breaches
- Policies and procedures
- Report findings at weekly Compliance meetings
- Monthly reports on findings to directors
- Monthly meeting with directors to discuss findings
- Assist with regulatory and/or exchange queries