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A leading banking institution is seeking a Compliance Surveillance Officer, the successful candidate will be responsible for conducting trade surveillance across Fixed Income, Currencies, and Commodities (FICC) and Equities using SMARTS & Bloomberg surveillance tools. You will play a crucial role in ensuring the integrity of the trading activities and compliance with regulatory requirements.
Key Responsibilities
- Perform daily trade surveillance across FICC and Equities to identify potential market abuse, misconduct, and compliance breaches.
- Utilize SMARTS & Bloomberg surveillance tools to monitor trading activity and generate alerts.
- Investigate and escalate potential breaches to senior compliance officers, ensuring timely resolution.
- Work closely with traders, risk teams, and senior compliance personnel to understand trading strategies and market dynamics.
- Stay up to date with global regulatory developments, including MAR, MiFID II, Dodd-Frank, and FCA guidelines.
- Contribute to the enhancement of surveillance models, system parameters, and methodologies to improve detection capabilities.
- Assist in regulatory reporting, internal audits, and responding to inquiries from regulators.
- Provide training and guidance to junior team members on surveillance best practices.
Key Requirements
- Proven experience in compliance surveillance within financial markets, with exposure to FICC and Equities.
- Strong proficiency in SMARTS and Bloomberg surveillance tools.
- Solid understanding of global market abuse regulations and trading behaviors.
- Ability to analyze large data sets and identify trading patterns indicative of misconduct.
- Excellent communication and stakeholder management skills.
- Highly analytical mindset with strong attention to detail
