Surveillance & Advisory Analyst
Responsibilities:
Surveillance
- Review transactions for legal and various policy breaches.
- Follow up on surveillance alerts to a final conclusion. This will involve liaising with traders, understanding restrictions, both legal and policy based.
- Understand and gain knowledge of legal and regulatory and policy trading requirements. Such as Suitability.
- Interact with Global Surveillance colleagues.
Advisory
- Review marketing materials termsheets
- Trade consultation
- Assist in creation of compliance training material and in the organization of training session and compiling training target audience
- Put together deal files for structured and strategic transactions, working with sales and other compliance officers
- Review internal suitability documentation
- Respond to requests for systems access from sales and trading personnel
Regulatory
- Obtain information in response to requests by exchanges or regulators, working with operations
- Training, oversight and a procedure to follow regarding the suitability surveillance report will be provided.
In addition the role will require occasionally dealing with non-surveillance related tasks such as compiling overviews of transactions, working with operations to compile trade data, creating compliance training materials, putting together deal files for structured or strategic transactions and similar tasks.
Candidate requirements:
- Degree educated
- Minimum of 5 years compliance experience OR experience in either of the following- sales and trading, operations or controllers- focused on interest rate derivatives or currencies would be a plus. Legal experience, if involving the aforementioned products, would also be a plus.
- Must understand the importance of and be able to work to tight deadlines
- Keen to learn new information, adopt new skills and with the ability to identify and make improvements to systems and processes
- Calm, with good oral, interpersonal and written communications skills and an authoritative manner
- Concern for accuracy, with good attention to detail
- Must work well in a small team
Candidates must be on a notice period of two weeks or less.
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