Trade Surveillance Analyst

Alvar Financial
London, United Kingdom
06 Aug 2022
05 Sep 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Purpose of Role:

Conduct trade surveillance and market monitoring to assist the Firm in meeting its regulatory responsibilities.

Key Responsibilities:

Responsibilities include but are not limited to:
  • Performing electronic transaction surveillance of the Equities, FX & ETD markets. Control on Personal Account Dealing using established alerts programmes
  • Investigating and closing out daily alerts thoroughly in a timely manner, and ensuring significant issues identified are fully investigated and promptly escalated where necessary; This includes preparing a comprehensive analysis/report of issues which will stand up to scrutiny by internal management and the regulators;
  • Undertake desk based monitoring on behalf of key stakeholders of the Compliance function, collating relevant issues and preparing reports for escalating of those issues.
  • Development of additional tactical solutions, pending implementation of automated solution;
  • Enhancing existing routines and continuously developing the monitoring programme to address changing regulatory expectations and updating supporting documentation as required.
  • Attending and contributing to compliance meetings and industry forums where relevant
  • Involvement in various projects, including the development and testing of new surveillance models;
  • Engagement with business and wider compliance team.
  • E-Comms, V-Comms
  • Report writing

Specialist skills and experience

  • Demonstrable knowledge of working in surveillance and committed to continuing in this field
  • Good working knowledge of CFDs and underlying markets (equities, FX)
  • Institutional Equities
  • A deep understanding of markets and trading;
  • Experience in the development and implementation of system enhancements including the documentation of business requirements;
  • Experience in review of alert scenario effectiveness and threshold calibration;
  • A desire to learn and the ability to clearly communicate issues with Compliance and business colleagues;
  • Good working knowledge of the applicable regulatory principles and rules;
  • The candidate must possess intermediate to proficient Microsoft Excel skills (Management Information.)

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