5 Trade Surveillance Jobs

dedicated to revolutionizing the financial industry through innovative technology and exceptional talent. Job Description: Our client are seeking a highly motivated and detail-oriented Trade Surveillance Analyst to join their dynamic team. The Trade Surveillance Analyst will be responsible for monitoring trading activities, ensuring compliance with … such as MiFID II, Dodd-Frank, and others. Collaborate with compliance, legal, and risk management teams to address any issues or concerns related to trade surveillance. Generate reports on suspicious activities or potential breaches for internal stakeholders and regulatory authorities as required. Utilize surveillance software and data analytics … tools to enhance surveillance capabilities and improve efficiency. Participate in the development and implementation of surveillance strategies, processes, and technologies. Assist in investigations and provide support during regulatory inquiries or audits. Maintain confidentiality, integrity, and professionalism at all times. Qualifications: Bachelor's degree in finance, economics, computer science 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 »

THE COMPANY: Our client is a successful brokerage firm, providing innovative ways to trade Stocks, ETFs, Forex, Commodities, and more. THE RESPONSIBILITIES: Undertake daily trade surveillance activities using the firm’s automated surveillance tool and investigate alerts in a timely manner. Identify risks/issues and … necessary. Draft STOR forms ready for submission to the relevant regulators such as FCA as required. Promptly investigate and communicate operational issues arising from trade surveillance activities with relevant stakeholders, e.g., IT for data related issues. Make recommendations for enhancements to the internal market abuse framework. Make recommendations … training to the business as required. Support other members of the team in other general compliance related activities. EXPERIENCE REQUIRED: Sound compliance monitoring and surveillance experience (3yrs +) within a financial services firm (brokerage is preferable). Good relevant experience in a trading, monitoring or surveillance position at 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 »

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 »