Compliance Monitoring & Trade Surveillance Analyst - Brokerage

Posted 12 January 2020
Salary Negotiable
LocationLondon
Job type Permanent
ReferenceLUTCMA_1578910560
Contact NameLatiesha Uter

Job description

Key responsibilities:

  • Carry out trade surveillance monitoring to detect market abuse or improper trading behaviour
  • Conduct reviews in accordance with the Compliance Monitoring Plan
  • Responding to regulatory enquiries
  • Assisting with PA Dealing approvals and monitoring of the Restricted List

Successful candidates will have:

  • Compliance monitoring and surveillance experience within a financial services firm
  • Knowledge of market abuse regulation
  • Knowledge of various products including FX (preferable)
  • Excellent communication skills both written and verbal