Britannia Financial Group is a global financial group offering banking, securities and investment management services, providing a wide range of bespoke financial services to a substantial and diversified client base that includes corporations, financial institutions, and individuals.
With more than 120 years of banking tradition, the group is headquartered in the City of London and maintains offices in major financial centres around the world.Trade Surveillance OfficerKey Responsibilities:
Required Knowledge and Level of Experience:
- Timely and accurate investigation and disposition of market abuse and communications surveillance alerts and reports
- Identification and escalation of potentially suspicious order, trade and communications activity
- Conducting ad hoc reviews and analysis of client activity to identify potentially suspicious activity and/or patterns or repeated activity
- Carry out daily reviews (on T+1) for Client and Desk Order Flow, monitoring total message counts and ratios, ensuring any potential Exchange breaches are reviewed and averted
- Assist in ongoing client investigations and 'Enhanced Client Monitoring', providing analysis and reports to the Head of Compliance
- Assist in responding to requests for information from Regulators, Exchanges and external Counterparties.
- Assist in alert calibration testing for new and existing alert types, ensuring any proposed changes/enhancements to alerts are delivered as expected.
- Assist in maintenance of procedure manuals as and when required.
- Developing an understanding in Britannia Global Markets' new and existing products and services in order to assist in the ongoing assessment of the firm's market abuses risks
- Participating in other compliance projects and work as required by the Head of Compliance
- 2 to 5 years experience in a financial markets role and an understanding of FCA's MAR (Required)
- Demonstrable experience working with Trade Surveillance systems and Alerts (Required)
- Experience working with Communication Surveillance systems and alerts and investigating associated conduct issues is desirable, but not essential
- Experience of compliance monitoring of trading desks is desirable, but not essential.
- Good understanding of futures and options and commodity derivatives is desirable, but not essential
- Excellent data analysis and interpretation skills
- Ability to quickly grasp an understanding of alert triggers and trading behaviour
- Attention to detail and accuracy essential
- Ability to draft reports in a concise, professional, and succinct manner
- Strong written and verbal communication and inter-personal skills
- Conversant with all Microsoft Office applications particularly Excel and PowerPoint