Trade Surveillance

Are you passionate about ensuring market integrity and compliance in the dynamic world of finance? Our client, a leading organisation in the Banking and Building Society sector, is seeking a dedicated Trade Surveillance Specialist to join their team on a permanent, full-time basis. If you thrive in a fast-paced environment and have a keen eye for detail, this opportunity is for you.

Key Responsibilities:

As a Trade Surveillance Specialist, you will be at the forefront of safeguarding our client's operations. Your day-to-day activities will include:

• Review and Action: Analyse daily market surveillance alerts and electronic communications to identify any suspicious behaviour indicative of market abuse, insider trading, or financial crime.
• Monitoring Systems Calibration: Tailor and optimise monitoring systems, designing new tests to minimise false positives and ensure comprehensive coverage of the firm's activities.
• Reporting and MI Production: Create timely and reliable Management Information (MI) reports on surveillance activity for the Board and governance committees.
• Regulatory Engagement: Assist with regulatory inquiries and contribute to the annual Market Abuse Risk Assessment (MARA) while ensuring compliance with local regulatory requirements.
• Policy Review: Evaluate and update policies regarding market abuse and electronic communications, ensuring they meet compliance standards.
• Training Development: Prepare training materials to educate staff on market abuse, conduct, and financial crime.
• Technical Enhancements: Collaborate on technical upgrades for compliance monitoring software, implementing necessary system changes in response to new regulations.
• Incident Investigation: Escalate and investigate exceptions arising from market abuse monitoring, ensuring thorough documentation and resolution.

Key Skills:

To excel in this role, you should possess:

• Strong investigative skills to resolve compliance monitoring exceptions.
• A solid understanding of trade flows and related data sources, coupled with excellent stakeholder engagement abilities.
• Familiarity with compliance surveillance software.
• The ability to multi-task, work independently, and communicate findings clearly.
• Tenacity and perseverance to see tasks through to completion.

Requirements:

• A graduate with strong academic qualifications, ideally holding a STEM degree.
• At least 5 years of experience in market surveillance or compliance monitoring.
• A genuine interest in financial markets, data analysis, and compliance.
• A willingness to enhance technical knowledge in market surveillance.
• Strong report writing and documentation skills.
• Fluent in English, both written and spoken.

Why Join Us?

Our client offers a vibrant work environment that values innovation and collaboration. You will have the opportunity to:

• Work with a talented team dedicated to compliance and market integrity.
• Engage in continuous learning and professional development.
• Make a significant impact in the fight against financial crime and market abuse.

If you are ready to take your career to the next level and contribute to a reputable organisation, we want to hear from you.

Apply Now.

Join our client in their mission to uphold the highest standards of market conduct. Send your CV and a cover letter detailing your relevant experience today.

Be a part of something great-where your skills can shine, and your contributions make a real difference.

LHH is an employment consultancy that believes in talent, not labels. It is important to us that we run inclusive recruitment processes to support candidates of all abilities and encourage applicants of all backgrounds and perspectives to apply. LHH is committed to building an inclusive, supportive environment to enable candidates to explore the next steps in their careers. If you require reasonable adjustments at any stage, please let us know and we will be happy to support you.