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Monitoring and Surveillance Analyst

Graduate at Michael Page International

Monitoring and Surveillance Analyst

Graduate at Michael Page International

  • LocationLondon, UK
  • Position levelGraduate
  • Job period iconFull-time employment
  • Application deadline iconPosted on 07 Sep, 2018
  • Start date iconStart date:
  • Visa iconVisa Sponsor
  • CompetitiveCompetitive
The Compliance Monitoring and Surveillance Analyst will carry out trade surveillance and monitoring for transactions on EEA markets, including OTC and any product(s) that the business offers;
You will ensure adherence to market conduct (MAR and related ESMA regulations) to reduce the risk of the business being used for the purposes of market related financial crime
Client Details
Investment Bank
Description
This Financial Services- Online Brokerage requires a Compliance Monitoring and Surveillance Analyst to join their business and team in London
* Carrying out trade surveillance and monitoring for transactions on EEA markets, including OTC and any product(s) that the business offers;
* Assisting with the on-going design and development of relevant market surveillance reports;
* Assisting with the design and development of trade reporting;
* Carrying out best execution monitoring on EEA markets, OTC and other products and following up on any remedial action;
* Assisting with the on-going design and development of relevant best execution surveillance reports;
* Assisting with written responses market abuse enquiries from the FCA and other national regulatory bodies;
* Supporting and coordinating the detection and mitigation of potential money laundering risk;
* Assisting in the training of relevant staff to ensure continuing competence in accordance with the FCA regulations;
* Keeping up to date with changes in market conduct regulations, FCA conduct of business and SYSC regulations; and
* Keeping up to date with EU and with international developments in relevant areas of regulations and law.
Profile
The successful Financial Services- Compliance Monitoring and Surveillance Analyst will have the following:
Key Requirements
* Bachelor's degree preferred: business, finance, accounting or technology-related preferred
* Market surveillance, or related surveillance and compliance knowledge in investment firms
* Brokerage, bank or securities industry knowledge
* Knowledge of FCA market conduct rules and market regulations
* Knowledge of FCA COBS rules regarding best execution etc.
* Securities industry qualifications preferable
Ideal Requirements:
* Must be a self-starter
* Must have good analytical skills
* Must have good oral and written communication skills
* Must have a strong technical orientation and be comfortable with computers and technology as applied to surveillance and compliance
* Must understand the nature and confidentiality of market abuse and AML related information
* Must be able to work in a cordial, small-to-medium office environment
Job Offer
Competitive Package
Location: City of London

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