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My client are a leading Commodities trading houses they are looking to recruit a Trade Surveillance Officer to join their London based team.
Reporting into the Head of Compliance, be responsible for the trade and communication surveillance function within the firm.
Skills Neede
- 3-5 years’ experience in a trade surveillance role at a brokerage or bank covering commodities markets (base metals or energy products
- Strong knowledge of UK/EU regulatory framework and in particular Market Abuse Regulation (MAR)
- Knowledge of the Nasdaq Trade Surveillance system advantageous
- Knowledge of wholesale commodities markets (LME, ICE, SGX, HKFE, CME) Rules and Regulation
- Experience in liaising with exchange compliance/market regulation functions
Responsibilities
- Undertake monitoring and surveillance for the firm in accordance with the agreed framework and procedures.
- Identification/escalation of suspicious activity that could be indicative of market abuse, financial crime or inappropriate market conduct.
- Working with the Head of Compliance, undertake the annual review of the Market Abuse Risk Assessment (MARA)
- Perform day to day monitoring of financial and physical trading activity across different regions and products to identify potential market abuse
- Be responsible for communication monitoring, following up with the business where necessary
- Conduct further review and investigations on alerts and maintain accurate records on findings and recommendations as required
- Perform day to day monitoring of financial and physical trading activity across different regions and products to identify potential market abuse
- Be responsible for communication monitoring, following up with the business where necessary
- Maintain market abuse and financial crime related logs and registers, including STOR/SAR/near-miss logs/registers.
- Maintain other compliance monitoring and surveillance related logs and registers, including Conflicts of Interest Register, PA Dealing Register, Third Party Payments etc.
- Participate in compliance tasks as required by the Head of Compliance/Deputy Head of Compliance, such as undertaking ad hoc testing/reviews, including trading and related staff conduct.
- Produce MI on monitoring and surveillance related information and statistics for compliance reports (quarterly and ad hoc reporting) and the annual MLRO report.
- Develop and maintain good relationships with key stakeholders and the business.
My client is looking to recruit URGENTLY, please send your CV in Word format to be considered for this great opportunity.
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