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Trade Surveillance – Senior Associate/ Associate
senior · Other
The EMEA Compliance Surveillance team (“Surveillance”) monitors and analyses the sales, trading and banking activities conducted by the Corporate Investment Bank and Asset/Wealth Management business as well as undertaking the surveillance of electronic communications (e.g. e-mail, Bloomberg etc.) and telephone communications.
As a Trade Surveillance – Senior Associate/ Associate in our Surveillance team, you will be a part of the Trade Surveillance team covering Corporate Investment Bank/Wealth Management. Our team utilises and develops electronic tools and integrative techniques to detect potential and/or actual violations of the Firm’s policies and legal/regulatory requirements. Additionally, as part of our team, you will work in close partnership with various Compliance teams and groups across the Firm. If you are driven, proactive with a keen interest in financial markets and Investment Banking activities, you may be the perfect fit for our team.
Job responsibilities
- Review Corporate Investment Bank/Wealth Management trade surveillance alerts covering key risks such as Market Manipulation, and Insider Dealing
- Carry out regular non-alerting reviews as well as ad hoc searches
- Engage with business aligned Compliance teams, surveillance technology partners and other key stakeholders
- Collaborate with regional colleagues in identifying program efficiencies and enhancements
- Contribute to different ad hoc projects
Required qualifications, capabilities, and skills
- You have a good working knowledge of the financial markets, and an interest in the trading of Fixed Income/Equity products
- Previous experience within Corporate Investment Bank/Wealth Management
- You have strong analytical skills and are detail orientated
- You have knowledge of relevant legislation (MAR)
- You have the ability to effectively partner with key stakeholders and technology partners
- Additionally you possess:
- initiative and judgement
- the ability to prioritise conflicting demands, be proactive, well-organised and work under pressure
- skills to work with management and forge strong partnerships with colleagues
- the ability to work independently and in teams and the readiness to share knowledge
- strong oral and written communication skills
Preferred qualifications, capabilities, and skills
Degree or overseas equivalent would be desirable but not essential
Experience in the development and implementation of system enhancements including the documentation of business requirements
Non-English language skills welcome
Experience in reviewing trade surveillance alerts is advantageous