Company Overview A leading global brokerage firm specializing in derivatives is seeking a Trade Surveillance Analyst. The ideal candidate will have some e-comm and trade surveillance experience, be highly organised, with strong attention to detail and accuracy, as well as strong numeracy skills. Key Responsibilities

Monitoring of broker communications (voice and email/chat) for any potential misconduct; Trade reconstructions; Trade investigations; Identify and escape any potential regulatory and exchange breaches; Incident resolution – detect and investigate potential breaches relating to the following:

Insider dealing and market manipulation including wash trades; Regulatory rule breaches; and Company policies and procedures

Produce reports on any findings at weekly Compliance meetings; Prepare management information reports for quarterly board Meeting Assist with regulatory and/or exchange queries relating to orders and trades. Assist with the preparation of the Market Abuse Risk Assessment. Conduct regular training sessions for relevant stakeholders (IT, HR, Brokers, Compliance); Liaise and assist brokers in understanding good practice; and On desk advisory function Monitor industry development and trends including exchange circulars; Identify gaps in the firms monitoring and surveillance policies. Assisting with implementing or upgrading software systems for monitoring and surveillance; Identify systems and controls failings and implement remedial action; Liaise with IT to ensure adherence to control checks; Monitor effectiveness of policies and procedures; and Additional / ad hoc duties as required to meet the needs of the business.

Candidate Requirements

Must be able to work in the office 5 days per week 1 year+ experience in a trade surveillance or similar role at an investment firm, brokerage or bank; Self-motivated; Highly organised; Strong attention to detail and accuracy; Highly numerate and articulate; Strong problem-solving skills; Ability to work effectively within a team environment; Strong IT skills (in Word, Outlook, Excel, and able to learn new systems quickly)

For further information please contact Hannah Tabatabai #J-18808-Ljbffr