Mise en ligne par

Recruiter

Our client, a very highly regarded brokerage house are currently searching for a Surveillance Compliance officer to join their team in London. The role focuses on Surveillance (Trade and Comms) across a range of asset classes (Commodities, Listed Derivatives, Solutions / Structured products, Swaps, FX, Swap Dealer, OTF…); with an opportunity to gain exposure to a wider range of compliance activities at a market-leading commodity broking company

Responsibilities:

• Monitoring trading activity, using industry recognised solutions
• Escalating any suspicious activity findings to management and reporting to regulators
• Participating in thematic reviews
• Assisting in the enhancement of the surveillance controls and documenting accordingly
• Participating in exchange / regulatory enquires from a surveillance perspective
• Sharing industry / Market Abuse knowledge with the wider Surveillance team

• Around 3 years working in a related Surveillance role
• A strong understanding of Market Abuse and the regulatory environment
• Experienced in dealing with exchanges and regulators
• Strong team player, experience of dealing with a variety of stakeholders
• Knowledge of Global Relay, SMARTS Broker, BTCA or equivalent surveillance tools
• Second language would be preferred, but not essential
• Educated to degree level in a related subject would be beneficial, but not essential

Plus d'offres de Daffin Kirbyshire Associates

Team Administrator

Daffin Kirbyshire Associates

London, United Kingdom

il y a 1 mois Full time £32k - £36k