Compliance Officer – Surveillance (Contract)
Location: Londres, Angleterre, Royaume-Uni
Salary: GBP300 - GBP350 per day
The primary responsibility of the role is to conduct daily surveillance of business conducted through the firm’s European arm to identify activity which may indicate market abuse as defined in the FCA’s Code of Market Conduct (MAR), breaches of various exchange and trading platform rules or activity which may be considered detrimental to the integrity of the markets on which the firm trades.
The incumbent will report to the Head of European Compliance.
- Undertake daily post trade surveillance monitoring on a timely basis to identify activity which may indicate possible market abuse or market integrity issues, ensuring that all analysis is completed to the highest standard and is appropriately documented.
- Escalate possible market abuse and market integrity issues to the Head of Surveillance and, where required, draft and submit Suspicious Transaction Reports to the FCA.
- Conduct communications monitoring which includes but might not be limited to voice calls, email and other forms of electronic messaging.
- Proactively identify enhancements to the firm’s surveillance program, policies and procedures.
- Complete monthly quality assurance assessment and validation
- Assist in regulatory and internal investigations as required
- Assist and support other Compliance colleagues within the team
- Perform additional surveillance including
o IOI monitoring
o OTC trade reporting reviews
o PAD dealing reconciliations.