Trade Surveillance Analyst
- Employer
- Alvar Financial
- Location
- London, United Kingdom
- Salary
- Competitive
- Closing date
- Sep 5, 2022
View more
- Job Function
- Compliance/Regulatory
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
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Purpose of Role:
Conduct trade surveillance and market monitoring to assist the Firm in meeting its regulatory responsibilities.
Key Responsibilities:
Responsibilities include but are not limited to:
Specialist skills and experience
Qualifications
Conduct trade surveillance and market monitoring to assist the Firm in meeting its regulatory responsibilities.
Key Responsibilities:
Responsibilities include but are not limited to:
- Performing electronic transaction surveillance of the Equities, FX & ETD markets. Control on Personal Account Dealing using established alerts programmes
- Investigating and closing out daily alerts thoroughly in a timely manner, and ensuring significant issues identified are fully investigated and promptly escalated where necessary; This includes preparing a comprehensive analysis/report of issues which will stand up to scrutiny by internal management and the regulators;
- Undertake desk based monitoring on behalf of key stakeholders of the Compliance function, collating relevant issues and preparing reports for escalating of those issues.
- Development of additional tactical solutions, pending implementation of automated solution;
- Enhancing existing routines and continuously developing the monitoring programme to address changing regulatory expectations and updating supporting documentation as required.
- Attending and contributing to compliance meetings and industry forums where relevant
- Involvement in various projects, including the development and testing of new surveillance models;
- Engagement with business and wider compliance team.
- E-Comms, V-Comms
- Report writing
Specialist skills and experience
Qualifications
- Demonstrable knowledge of working in surveillance and committed to continuing in this field
- Good working knowledge of CFDs and underlying markets (equities, FX)
- Institutional Equities
- A deep understanding of markets and trading;
- Experience in the development and implementation of system enhancements including the documentation of business requirements;
- Experience in review of alert scenario effectiveness and threshold calibration;
- A desire to learn and the ability to clearly communicate issues with Compliance and business colleagues;
- Good working knowledge of the applicable regulatory principles and rules;
- The candidate must possess intermediate to proficient Microsoft Excel skills (Management Information.)
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