Trade Surveillance Senior Analyst - £55k

Recruiter
Holmes Search
Location
London, United Kingdom
Salary
55,000
Posted
27 Apr 2022
Closes
15 May 2022
Ref
14656793
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
An in-house developed surveillance system provides automated alert capabilities across a number of key market abuse and financial crime scenarios for review by the team who escalate any unusual or suspicious behaviour to the Surveillance Alerts & Investigations Team Leaders.

In addition, an automated e-communications alert system is used to detect a broad range of potential risks that require review including suspicious behaviour, financial crimes, market misconduct, conflicts of interest, anti-competitive behaviour or leaks of confidential information.

A manual monitoring programme is also carried out alongside automated alerts review which includes data analysis using spreadsheets and focused voice communications monitoring.

It is expected that Senior Analysts have an established and broad understanding across all areas of financial crime and market conduct risks and are able to recognise and investigate suspicious behaviours that require escalation. Senior Analysts support the function by executing various processes that help reduce residual risks and maintain compliance with the Bank's policies and procedures relating to Financial Crime (e.g. the Anti-Money Laundering/Counter Terrorist Financing Policy, the Anti-Bribery and Corruption Policy and the Sanctions Policy), Market Conduct (e.g. the Conflicts of Interest Policy and the Information Barriers Policy) and Business Conduct (e.g. Best Execution and Fair Pricing Policy, Electronic Communications and Chat Room Policy).

The role requires the ability to work independently, use good judgment and handle sensitive matters with discretion.

Key Responsibilities
  • To carry out automated and manual surveillance processes in accordance with established Surveillance procedures.
  • To identify and report potential market misconduct or suspicious transactions highlighted during automated and manual surveillance processes
  • To conduct communications surveillance in line with documented procedures to identify a broad suite of risks including suspicious behavior, financial crime, market misconduct, conflicts of interest, anti-competitive behavior or leaks of confidential information.
  • Maintain complete and accurate records of alert dispositions, investigations and outcomes.
  • Maintain an up to date knowledge and understanding of market/financial affairs and Financial Crime and Market Conduct rules/regulation
  • Assist the Surveillance Governance & Controls team with the testing and evaluation of Surveillance system enhancements.
  • Provide support to Surveillance Governance & Controls team on ad-hoc projects which require reactive response such as regulatory or exchange enquiries; this includes assisting with the implementation of remedial actions relating to such enquiries.
  • Provide support to respond to internal reviews such as those carried out by Internal Audit or Compliance Monitoring
  • Liaise with stakeholders outside of Compliance on Surveillance related matters.
  • Provide support to deliver the annual financial crime and market conduct risk assessments.
  • Provide support to compile and deliver management information.
  • Provide support to compile and deliver new joiner training and annual refresher trainings relevant to financial crime, market conduct and conflicts.
  • Assist in Business Continuity testing where required either remotely or at the recovery site.


Preferred Qualifications and Experience
  • Degree level education
  • Mandarin language is preferable however not mandatory
  • 2 years + experience working in Surveillance unit within a regulated financial institution, ideally an Investment Bank or Broker Dealer.
  • Experience working with transaction, client and firm static data.
  • Experience analysing and presenting data within Excel

Knowledge, technical skills and expertise:
  • Understanding of Financial Instruments and Regulated Markets
  • Understanding of Commodity products and experience in Commodity market abuse monitoring
  • Understanding of Investment Banking/Primary Markets transactions
  • Understanding of relevant Market Abuse laws, regulations and guidelines
  • Understanding of Financial Crime rules and regulations, including rules and regulations on anti-money laundering (e.g. the Joint Money Laundering Steering Group (JMLSG) guidance), counter-terrorism, anti-bribery and corruption, sanctions and fraud.
  • Understanding of client onboarding processes
  • Understanding of FCA relevant Market Conduct rules
  • IT skills including proficient level of Microsoft Excel
  • Highly numerate with demonstrable skills in the compilation and manipulation of data
  • Drafting skills - ability to draft to a high standard.

Personal attributes:
  • Attention to detail
  • Analytical
  • Proactive
  • Personable
  • Good communication skills
  • Results-orientated
  • High level of integrity
  • Team player


The role would suit someone who is able to:
  • Execute consistently and function independently as well as in a team
  • Prioritise and manage multiple tasks while ensuring that assigned job responsibilities and team goals are met
  • Understand and efficiently analyse information from multiple sources

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