Trade Surveillance Analyst

  • Negotiable
  • London, England, United Kingdom
  • Permanent, Full time
  • Selby Jennings UK
  • 25 Mar 19

A multi-award winning financial services firm are seeking a Trade Surveillance Analyst to join their Compliance Team.

A multi-award winning financial services firm are seeking a Trade Surveillance Specialist to join their Compliance Team.

The Trade Surveillance analyst will assist in a broad range of duties including (but not limited to):

  • Assist with the risk reviews of the Compliance Monitoring Programme and resolving or managing any adverse findings arising from the compliance testing
  • Be responsible for the trade surveillance programme, resolution, reporting or escalation of alerts as necessary
  • Conduct file reviews and thematic compliance projects
  • Draft compliance reports and ad hoc and periodic review of policy documents
  • Gathering of information for the monthly MI reports, enhancing effectiveness where necessary
  • Provide support and assistance to the Head of Compliance and other internal stakeholders
  • Monitoring UK and EU regulatory developments and best practices which includes attending industry seminars
  • Undertake any other duties as required by the Head of Compliance and other Senior Management as may be required from time to time

Person Specifications:

  • Excellent oral and written communication skills
  • Solid, demonstrable understanding of the UK regulatory framework
  • Excellent attention to detail
  • A proactive, can-do, customer focused attitude
  • Able to undertake project-based requirements alongside daily workflow

Desirable:

  • Experience or familiarity with transaction reporting
  • Experience or familiarity with trade surveillance software