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Trade Surveillance Contractor

  • Location: UK
  • Salary: £350 - £450 per day
  • Contract hours: ZeroHour

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About the job

Trade Surveillance Contractor Our client, a global brokerage, is looking for a Trade Surveillance Contractor to join them on a 6-month contract. The role can offer £350-450 per day and is based in London.The focus of the role is to support the organisations Compliance function by conducting trade surveillance activities. You will be required to identify, manager and report potential incidents of market abuse and other improper activity.ResponsibilitiesPerforming daily trade surveillance, investigation of alerts and escalation of issues;Identify risks/issues and discrepancies and proactively escalate to Deputy Head of Trade Surveillance for secondary review as requiredAnalysing surveillance reports and regulatory and market developments to support ongoing monitoring of risks, internal reporting and enhancement of systems and processes; andWorking as part of the trade surveillance team led by the Head of Trade Surveillance, with regular interaction with personnel across Compliance, IT, HR and the Businesses.Accurately document review findings and outcomes and support further investigation of suspicious behaviour as required by providing expert insight and technical assistancePromptly investigate and communicate operational issues arising from trade surveillance activities with the relevant stakeholders, e.g. IT for data and systems-related issuesMake recommendations for enhancements to existing processes and develop new processes for identifying market abuse risk in line with regulatory change and market/business developmentsTake on such roles and responsibilities as are required from time to time to contribute to the successful operation of the Compliance function within the organisationAssist and work with the other Compliance teams as requiredEnsure the timely review, escalation and closure of system generated alertsWhere applicable produce relevant MI associated with surveillance activityConduct any manual surveillance where requiredSkills and experienceGood experience in a trading, monitoring or surveillance within financial servicesStrong knowledge of the FCA handbooks and other regulationsStrong working knowledge of market abuse regulations is essentialUnderstanding of the general activities and functions of a broker dealer is requiredPrevious experience of using an automated market abuse surveillance system (e.g. Apama, Scila, BTCA, SMARTS, Actimize) would be preferablePrevious experience working for a broker or regulator would be advantageousKnowledge of trading systems advantageous (e.g. Bloomberg, Reuters, Fidessa, etc.)Knowledge of automated market abuse surveillance system advantageousKnowledge of Compliance phone recording and e-comms surveillance systems advantageousProficiency in statistical and visualisation software advantageous (e.g. Excel, Tableau, Qlickview, etc.) McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.



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