Across Trade and Control Room Surveillance and Electronic Communication and Voice Surveillance, the team conduct surveillance of orders, transactions and electronic communications to identify potential breaches of regulatory requirements and firm policies, detect emerging trends, and promote pro-active surveillance.
Overall purpose of role The role will focus on the Surveillance program for EME and APAC Markets in accordance with relevant regulatory and legal requirements, firm policies and industry best practices. The individual will work closely with the respective teams in EME, APAC and Americas that cover Surveillance activities.
Conduct Trade and Control Room surveillance for trading activity across the markets business areas to identify potential instances of market abuse through the analysis of alerts generated by the surveillance platform.
Work with members of the Market Surveillance team to document and escalate potential market abuse to the Business Oversight Compliance teams and if required submit Suspicious Transaction and Order Reports (STOR/STR) to the appropriate regulator.
Identify opportunities to enhance the surveillance platform and partner with the Market Surveillance Optimisation and Calibration team to implement changes.
Assist with developing Management Information that provides insight to the efficiency and effectiveness of the market surveillance operation including drafting commentary for reporting to key stakeholders.
Provide subject matter expertise to the Compliance function on the performance of the Surveillance control including details on the efficiency and effectiveness of the surveillance platform.
Communicate market abuse risk identified through the surveillance platform with Business Oversight Compliance and agree clear path to resolution.
Engage with the Global Surveillance team to share knowledge and practices and promote a consistent approach across the surveillance teams.
Champion the Compliance function and within it, the Global Surveillance teams.
The role requires sound judgment as one of the primary responsibilities is measuring the risk of market abuse occurring across the organisation globally. To deliver this judgment in a timely fashion the role holder will develop analytical skills and technical knowledge of market abuse behaviours, products, market infrastructures, how trading is represented within the organisation's systems and the associated control environment.
Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Policies and Policy Standards.
You will need to have;
A proactive approach to problem solving with a desire to be inquisitive in their analysis
An ability to work independently and in a team and/or fast paced environment
Be a self-starter willing to take on additional tasks and ad-hoc projects as requested
Good communication skills, ability to interact and work with key stakeholders
Ability to quickly understand and interchange with a variety of other product and technical areas
A strong understanding of core EME Markets and respective regulations
Strong Surveillance or Compliance experience in a financial services environment or Regulator
Ability to multi-task and manage projects while completing daily tasks and responsibilities
Familiarity with diverse product types
Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003...