1 to 8 of 8 Trade Surveillance Jobs

financial products and solutions, catering to an international clientele. As part of their ongoing expansion, they are seeking a highly skilled and experienced VP Trade Surveillance Compliance Officer to join the team in London. Role Overview: The VP Trade Surveillance Compliance Officer will play a pivotal … role in ensuring our firm adheres to the highest standards of regulatory compliance. This senior position requires a deep understanding of trade surveillance, market abuse regulations, and extensive product knowledge in FX, Credit, or Rates. The successful candidate will be responsible for monitoring trading activities, identifying potential risks … and implementing robust compliance frameworks to mitigate these risks. Key Responsibilities: Trade Surveillance: Oversee and enhance the trade surveillance programme to detect and prevent market abuse and other illicit activities. Utilise advanced surveillance tools to monitor trading patterns and behaviours across FX, Credit, or Rates. 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 »

span across Business Services, Corporate banking, Wealth Management, Group Functions, Retail and Investment Banking. On behalf of this organisation, AMS are looking for a Trade Surveillance Officer for a 6 Month contract based in either London, Manchester or Edinburgh. Please note this will be a hybrid working model … day per week in your closest office. The Role; As a Trade Surveillance Officer, you'll play a vital role in undertaking surveillance checks and fact-finding reviews to monitor trading activities and ultimately ensure compliance with market conduct policies and regulation. We'll look to you … to contribute to improving existing surveillance systems as well as assisting in driving new technological solutions while having the opportunity to develop your analytical skills, in this collaborative and fast-paced role. Responsibilities of the Role; As a Trade Surveillance Officer, you'll assist in reviewing alert more »

Product Manager Salary: £60,000 - £80,000 Location: London/Bristol - Hybrid Skills : Trade Surveillance, Market Surveillance, Market Abuse, eComms Surveillance, TCA, Regulatory Reporting, Best Execution, MAD2, MAR2, Mifid2 Are you looking for an excellent opportunity to join an exciting vendor who provide Regulatory and Surveillance … to compete with market leading financial services platforms. To be considered for the role of Product Manager the following experience is essential; knowledge of Trade, Market or eComms Surveillance Best Execution and regulatory reporting would be highly beneficial ability to manage, define and scale the product road map … with your CV and stating why you feel you would be perfect for this role. For more information please apply to Felix @ Artemis Talent Trade Surveillance, Market Surveillance, Market Abuse, eComms Surveillance, TCA, Regulatory Reporting, Best Execution, MAD2, MAR2, Mifid2 more »

Our client, a global cryptocurrency firm, are looking for trade surveillance professionals to support their UK team. This is ideal for someone with trade and communications surveillance experience who has used both the Validus and Smartz systems. This will be a fully remote contract which will … be looking to start in around a months time. Key Responsibilities: Monitor daily alerts arising from the trade surveillance system software across the crypto trading venue Undertaking communications surveillance across internal systems Oversight of the market abuse risk assessment, and ensure that there are adequate policies, procedures … and methodologies in place Key Requirements: Experience conducting surveillance across UK and EU firms Used Validus and Smartz systems Experience within cryptocurrency (desired) Strong knowledge of Market Abuse Please reach out to Nicole Poole at Danos Consulting to learn more about this opportunity. 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 »

An international banking institution wish to hire a Trade Floor Supervision Manager (team of 5) for the capital markets group, the First Line of Defense (“1LOD”), is accountable for compliance with laws, and regulatory requirements applicable to their business areas which includes direct accountability for Global Markets and indirect … require attention Handle "on-the-fly" requests from LOB Heads and trading staff for situation specific advice which may involve requesting interpretations. Identify key trade and risk attributes and assist in maintaining comprehensive professional reporting templates. Assess data and make informed decisions and sound subjective judgments to monitor trading more »

Role Responsibilities: We are seeking an experienced data engineer to join the Surveillance IT team. The successful candidate will be responsible for developing data ingestion pipelines and frameworks that support trade surveillance analysts in their strategic decision-making. Qualifications and Skills: Educational Background : Bachelor's degree in more »