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Complliance Contract - Trade Surveillance jobs in St Pauls

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complliance contract - trade surveillance

  • Finance
  • St Pauls
  • £300 - £400 per day
  • Contract
  • Full Time
  • 71996
  • 11 Jul 2018
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The Company:

A London based Financial Services firm are looking for a Compliance officer to join their Market Surveillance team on a temporary basis.


* To monitor activity on all trading venues to ensure that the markets remain fair, transparent and orderly
* Monitor order and trade activity to identify behaviour which may be indicative of market abuse or other behaviour which may damage the integrity of the company markets
* Highlight surveillance and enforce actions for layering alerts
* Identify which areas of the company Rulebook apply to each audit
* Formulation of the audit testing to be conducted
* Keep abreast of market and regulatory news that may impact the Surveillance programme.

Skills, Knowledge and Experience:

For this role you will have experience working in compliance within a Financial Services firm. You will have worked across compliance monitoring, trade/market surveillance or market audit. You will have lead or assisted with thematic reviews and will have worked closely with the front office traders. You must have knowledge of layering alerts. You will ideally have knowledge of exchange traded derivatives markets or Commodities Markets

This is a great opportunity to work with the front office and gain exposure to the front end traders. The role offers a chance to conduct thematic reviews and work monitoring against guidelines where you will have an opportunity to build knowledge and skills in a commercial business environment.

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