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Central Trade Surveillance Support Officer

London, , United Kingdom

Job Description:

The Team:

The Global Markets Business Controls Office is a global group with teams in many locations including New York, Charlotte, London, Paris, Hong Kong, Singapore and Tokyo. The team provide  Supervisory support to Sales, Trading, Electronic/Algorithmic and Research businesses as well as trade, electronic and audio communication surveillance across Global Markets.

Role Description: The Global Markets Business Controls Office is responsible for the creation, maintenance and oversight of a robust supervision and control infrastructure relating to non-financial risk. Including but not limited to compliance with regulatory rules and guidance as well as operational controls, in partnership with the business Front Line Unit.

Job description:

•Trading Venues: Assist in ensuring data from all Trading Venues/Platforms is sourced and utilized in our Trade Surveillance program for monitoring and reporting.

•Surveillance Inventory: Assist in the creation and maintenance of the Trade Surveillance inventory as per both regulatory requirements and internal policies for all products traded by the firm and offered to its clients.

•Surveillance Implementation: Assist and support coordination with Global Technology and business teams to create and improve trade surveillance rules and programs as required.

•Data Analysis: Review and maintain data repository to identify data gaps, improve data quality and create data visualizations to identify any trading patterns.

•Automation: Work on automation initiatives to drive efficiencies, standardize processes and enhance sustainability.
•Calibration and Effectiveness: Help and support the effort to fine tune Trade Surveillances rules and programs both on parameters and logic to improve the quality of Trade Surveillance alerts triggered.

•Compliance and Regulation: Help ensure adherence to financial regulations, staying updated on industry rules and guidelines to implement effective surveillance measures .• Technology Utilization: Work with specialized software and tools as required to track, analyse, and report trading activities, leveraging technology to enhance surveillance capabilities.

• Continuous Improvement: Assist in the continuous evaluation and improvement of surveillance processes and methodologies to adapt to evolving market conditions and regulatory requirements.

• Documentation and Audit Trails: Help and assist in the maintenance of comprehensive records of all surveillance documents, including investigations and actions taken, to meet regulatory requirements and support internal audits.

• Collaboration: Work closely with internal stakeholders as required to implement and enforce policies and procedures related to trade surveillance.

• Reporting: Assist in the preparation and presentation of reports on findings, highlighting potential risks or violations to senior management.

•Testing and Validation: Support the testing and validation of surveillance systems and procedures to ensure accuracy, efficiency, and effectiveness in detecting suspicious activities.

• Feedback Loop: Help establish a feedback loop to integrate learnings from past incidents or surveillance activities into future improvements and adjustments in surveillance methodologies.

• Regulatory Awareness: Will be expected to keep up to date with changes in financial regulations and understand their implications on trade surveillance practices.

• Documentation Automation: Proficiency in automating documentation processes using tools or software to streamline reporting and compliance tasks.

What we are looking for:
•Communication Skills: verbal and written communication skills to communicate complex findings or technical information to internal stakeholders.

•Crisis Management: Be able to act swiftly and decisively in response to urgent or critical situations, regulatory enquiries and audit reviews.

•Analytical Skills: The ability to analyse data sets, recognize patterns, and draw insights from financial information.                                                                                                                         •Technology Proficiency: MS technologies: Excel, PowerPoint and Word. Understanding of Python, SQL and Tableau is a plus.

•Compliance Knowledge: Understanding financial regulations and compliance requirements is preferred..

Skills that will help:

•A meticulous eye for detail to spot anomalies or discrepancies within data sets                                                                                                                                      •Adaptable and open to change is key to staying effective              •Collaboration and teamwork skills are important for working effectively with global GM BCO and other internal stakeholders.

•A willingness to continuously learn and stay updated on market trends, surveillance, and regulatory changes is beneficial.

•The ability to make prompt and well-founded decisions, especially in situations requiring immediate action, is essential in ensuring effective trade surveillance.

Learn more about this role

Full time


Manages People:

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