Trade Surveillance / Compliance Monitoring Analyst Full Time

Taylor James Resourcing

We are looking for a candidate with 12 months Compliance / Trade Monitoring Surveillance experience to join and work within a Trading Surveillance team.

The main function of this position will be to assist in the Company’s market surveillance and monitoring processes of trading derivatives.

Ideally, you will be a numerate graduate with some financial markets experience. This is a highly analytical role, so you must have good Excel skills.

The role involves:

1. Data handling and analysis
2. Trade surveillance of Derivatives trading, including Energy Contracts, Commodities, and various other financial instruments
3. Awareness of the regulatory risks that relate to Market Abuse and Trade Surveillance
4. Understanding of different trading strategies and the ability to identify anomalous activity
5. Preparation of standard daily reports analysing trading patterns and behaviour
6. Assisting in the compilation of evidence for formal investigations
7. Data analysis for ad hoc projects
8. Communication platforms monitoring
9. Trade reconstruction
10. Trade investigation
11. Identify and escalate any potential Regulatory and Exchange breaches
12. Incident resolution – Detect and investigate potential breaches
13. Fraud and Market Manipulation including Wash Trades
14. Regulatory Rule breaches
15. Policies and procedures
16. Report findings at weekly Compliance meetings
17. Monthly reports on findings to directors
18. Monthly meeting with directors to discuss findings
19. Assist with regulatory and/or exchange queries