Equities Trade Surveillance Compliance Officer (6-Month Contract)

Tasks

• Monitoring of Trading for Potential Market Abuse/Market Manipulation
• Support for the Monitoring of Audio and Electronic Communications
• Consulting Services in the Area of Coordinated Surveillance and Ad Hoc Investigations
• A Proactive Approach to System Improvement and the Development of Audit Trails
• Serve as the primary point of contact and subject matter expert for cash flow analyses or stock exchange inquiries, as needed
• Ensure that monitoring activities are carried out in accordance with agreed-upon procedures and guidelines. Ensure that escalation processes are followed and that all issues are escalated and resolved in a timely manner.
• Collaborate with the EMEA Head of Global Markets Surveillance to identify key risk areas and ensure compliance with market abuse procedures.
• Collaborate with the Money Laundering Reporting Officer (MLRO) in the event of suspicious trading activities identified through existing source reports.
• Collaborate with Compliance IT to support the development and implementation of new monitoring initiatives.
• Conducting quality assurance for monitoring alerts handled by Level 1 monitoring teams offshore.
• Support the EMEA Head of Global Markets Surveillance in coordinating the delivery of periodic management information, as well as performance and risk metrics, by the EMEA Surveillance Department.

Requirements

• Maintaining a detailed working knowledge of key EU and UK regulations, as well as a broad understanding of global rules and regulations
• A strong technical understanding of key trading monitoring systems, such as Actimize, Bloomberg, and others
• Regular participation in industry events and seminars to stay up to date on regulatory, market, and product-related developments