8 Trade Surveillance Jobs

Job Title: Market Trade Surveillance Officer - ETF Surveillance Location: London Department: Risk Management Reports To: Chief Risk Officer (CRO) Company Overview: A leading financial services firm focused on innovative investment solutions is seeking a Market Trade Surveillance Officer to enhance our ETF surveillance capabilities. … trading activities to detect market abuse patterns and ensure compliance with MiFID II regulations. The successful candidate will collaborate with the CRO to refine surveillance processes and tools, utilizing their market surveillance experience and trading interest. Coding skills are not required for this position. Responsibilities: Analyze trading activities … for potential market abuse and misconduct. Work with the CRO to enhance the automation and efficiency of trade surveillance systems. Generate and present reports on surveillance findings to senior management. Keep abreast of regulatory changes and advancements in surveillance technology. Qualifications: 1-4 years of proven more »

that expansion. This role is well suited for someone with a particular understanding of market conduct and surveillance. Responsibilities: Carrying out frequent and thorough trade surveillance checks in relation to market abuse and market conduct. Provide Compliance guidance on an as-needed basis, especially regarding market abuse and … conflicts of interest, aligning with company policies. Assist in compiling and preparing Management Information (MI) reports related to surveillance activities and other compliance tasks. Collaborate on designing and implementing improvements to communication and trade surveillance procedures. Delivery of Compliance monitoring, with a focus on market conduct and … financial crime risks. Perform assessment of market conduct and trade surveillance framework to identify and remediate vulnerabilities. Lead efforts to enhance surveillance systems, and implement new policies and controls to ensure compliance with applicable market conduct laws and regulations. Experience: Experience in capital markets compliance, with a more »

of market abuse and surveillance. Specifically, the successful candidate must have hands-on experience in one or more of the following areas: market abuse surveillance operational procedures including the process of managing and closing out populations of alerts from either e-communications or trade surveillance platforms; familiarity … with a range of surveillance vendor technologies; knowledge of MAR and MiFID II regulation; significant technical knowledge of one or more wholesale banking asset classes; working with trade and order transactional data; tuning lexicons and machine learning models for false positive reduction. We have ambitious plans and are … looking for individuals who can develop and build our data and technology capability and bolster our market abuse and surveillance capability. Responsibilities In this role, the successful candidate will be expected to work on a range of client engagement with UK and multinational financial services clients. We support our more »

to the business regarding proposed transactions in a timely manner. · Assist internal stakeholders where required with product and/or market expertise, such as Trade Surveillance, Risk, Internal Audit, Operational Risk, Operations. · Create and deliver training to the business and other functions as required, covering topics such as … other topics pertinent to specific business lines. · Creation and review of Advisory Compliance policies and procedures. · Review escalations of potential market abuse from internal trade surveillance partners, the business and others. Provide analysis and reasoning to senior management as required to assist in escalation decision making, including preparation more »

a financial services consulting firm based in London. We specialise in supporting financial institutions implement technology changes to address regulatory requirements, including controls for Trade Surveillance, Communication Surveillance and Record Keeping, AML Transaction Monitoring, as well as Sanctions screening. Role Description This is a full-time Regulatory … you will play a critical role in ensuring our clients stay compliant with ever-changing regulatory requirements. MUST HAVE - Prior experience working on either Trade or Communication Surveillance controls. Qualifications A bachelor's degree in business, finance, economics, computer science, or a related field. At least 4 years … of experience in regulatory compliance, or technology in the financial services industry. MUST HAVE - Knowledge of regulatory requirements related to surveillance and monitoring for Market Abuse as well as Record keeping rules for financial institutions. Proven analytical skills with experience conducting impact assessments and gap analysis. Strong business analysis more »

Market Surveillance – London, UK "Global Futures and Options Ltd (GFO-X)”, a UK FCA-authorised and regulated MTF, is seeking individuals to join the Market Surveillance Group which is part of the broader Compliance team. The Market Surveillance Group will be responsible for the real-time and … quality of its market for all market participants. They will work closely with experienced staff and develop the capacity to conduct high-quality routine surveillance with minimal supervision. They will also work with the Compliance team, local business lines, support functions (including IT and Operations) and other stakeholders to … identify business changes and regulatory developments that warrant updating existing or developing new surveillance patterns to ensure the Firm has comprehensive coverage. GFO-X is the UK's first regulated and centrally cleared trading venue dedicated to digital asset derivatives. GFO-X has partnered with LCH SA which will more »

our personal wealth. Our customer is a global technology company that is consistently ranked #1 in Anti-Money Laundering, Payment Fraud Prevention and Trading Surveillance technology. Their solutions have recently been awarded as the 'Most Innovative' and best 'Customer Impact Performance' technology solution in the industry. How would you more »

current operating models and new regulatory requirements Identifies and facilitates detailed client and Front Office processes’ impacts: client flows and outreach requirements, communications, product, trade surveillance and business conduct Collaborate with various stakeholders to drive regulatory advocacy and thought leadership efforts locally and on a cross-jurisdictional basis more »