Commodities Trade Surveillance Officer
Main Responsibilities:
On-going performance of the electronic trade surveillance monitoring programme
Promptly Investigate and clearly communicate issues arising from the electronic trade surveillance monitoring activities, involving advisory compliance officers as required, follow issues through to full resolution with the business lines
Participate in the overall review programme in conjunction with the risk review team, by providing support in relation to trade surveillance, as required
Maintain and monitor a database of remedial actions/recommendations arising from trade surveillance, to ensure timely and satisfactory resolution of issues identified
Preparation of written reports for submission to the Risk Assessment Review Unit Senior Compliance Officer and relevant Desk Head(s), as required
Liaison with advisory compliance officers and/or the Control Room on trade surveillance monitoring related issues
Provide support on the implementation of the Pan-European trade surveillance monitoring system (Convergence)
Designing and developing new trade surveillance controls to ensure broad product coverage and extension of coverage of potentially abusive market behaviour
Assisting in regulatory and internal investigations as assigned by the Risk Assessment Review Unit Senior Compliance Officer or the Head of the Financial Crime Unit
Proactive and timely escalation of issues to the Risk Assessment Review Unit Senior Compliance Officer, ensuring regular and frequent communication on such issues
Active participation in investigations into incidents arising within the business lines as required
Maintaining a detailed working knowledge of the relevant UK rules and regulations, and a broad awareness of AMF, ACP and other regulatory and exchange rules and regulations as required
Involvement in delivery of items in the annual Compliance Plan, which are relevant to the coverage of the team, in a timely manner
Performance of team permanent supervision controls
Maintaining awareness of key EU / UK regulatory updates and analysing their impact upon the electronic trade surveillance monitoring programme
Attendance at relevant industry and trade association seminars
Participation in departmental and central compliance team meetings, as required
Any other tasks/projects as assigned.
Core Skills:
Commodities trade surveillance experience or very strong front office trade servaillance expereince.
knowledge of precious metals is highly desirable.
Fluent English, French an advantage, but not prerequisite
Good understanding of Capital Markets activities
Educated to degree level
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