Reporting directly to the Chief Compliance Officer, you will act as a key member of the compliance team and help to drive the surveillance model utilizing both traditional methods as well as data and technology. If you have these on your CV apply now: * Scila Surveillance System * MIFID ii, MIFIR and MAR experience * Expert Trade Surveillance candidate
Interim - Trade Surveillance Compliance Officer, City of London, Financial Services industry client:
The ideal candidate for this company will have significant regulatory experience with regard to financial markets and products, be familiar with FCA and European rules (in particular Market Abuse requirements), and be able to undertake market supervision of participant activity, in particular trade surveillance.
Description
Interim - Trade Surveillance Compliance Officer, City of London, Financial Services industry client:
- Conduct real-time market supervision, including surveillance of trading activity on the MTF - use of Scila
- Partner with other global trading platforms to ensure a consistent and joined-up approach to trade surveillance, including a Trading Facility sister MTF based in Amsterdam.
- Provide guidance and advice on, as well as implement controls, relating to all FCA rules applicable to an authorised MTF.
- Assist with further developing MiFIDII solutions and ensure continued and ongoing regulatory compliance, especially in terms of the trade surveillance program.
- Work with Engineering to improve the trade surveillance system, providing business requirements and conducting testing to ensure requirements have been met.
- Analyse the impact of developing regulatory changes, especially in terms of trade surveillance requirements.
- Manage "STOR" reporting process, and ongoing effectiveness of the STOR program.
- Report on the effectiveness of the trade surveillance program, including the provision of relevant management information to various governance forums and committees.
- Stay ahead of jurisdictional changes and challenges throughout Europe and beyond, working closely with legal
- Conduct continuing education for sales and product
Profile
Interim - Trade Surveillance Compliance Officer, City of London, Financial Services industry client:
- Significant relevant experience in terms of trade surveillance programs and systems, specifically Scila
- In-depth knowledge of MiFIDII / MiFIR/ MAR, and the regulatory operations of a trading venue.
- Strong data analytics skills.
- Strong understanding of one or more of the following asset classes: Fixed Income, IRS, CDS, FX derivatives and Equity derivatives. Fixed Income would be the preference and must be demonstrable on the CV
- Strong familiarity with the financial markets, electronic trading, and FCA and EU regulatory developments
- Experience dealing with and responding to regulatory and FCA changes and enquiries
- An analytical mind, the ability to solve complex problems and streamline processes
- Must be immediately available and happy to accept a 3 mth contract as this is to bridge a notice period gap in the team.
Job Offer
Immediate start for Interim - Trade Surveillance Compliance Officer role.
£450-525 per day, PAYE only candidates please.
3mth assignment.
