Trade Surveillance Officer - Appcastenterprise : Job Details

Join us as a Trade Surveillance Officer

• You’ll play a vital role in undertaking surveillance checks and fact-finding reviews to monitor trading activities and ultimately ensure compliance with market conduct policies and regulation
• We’ll look to you to contribute to improving existing surveillance systems as well as assisting in driving new technological solutions
• You’ll have the opportunity to develop your analytical skills, in this collaborative and fast-paced role
• You’ll receive surveillance specific and tailored market abuse training

What you'll do

As a Trade Surveillance Officer, you’ll be analysing order and trade activity to identify potential market abuse and poor conduct using the suite of surveillance tools available.

Your role will also involve:  

• Pro-actively identifying potential or actual emerging risks and driving control enhancements to make sure that surveillance activities operate efficiently and provide appropriate risk mitigation
• Analysing activity for potential red flags and escalating appropriately
• Assisting in providing in-depth analysis of alerts, including the use of market data, source system data and alerting data
• Liaising with communications surveillance personnel to further analyse alerting
• Supporting the development and implementation of an annual surveillance programme of work that completes on time
• Keeping up to date with changing regulations and policies

The skills you'll need:

We’re looking for someone with experience of financial services businesses including Wealth Management and Treasury functions. It will be crucial for you to have excellent logical and analytical skills and high levels of attention to detail.

This will be coupled with the ability to source and assess multiple data and information points to help make risk-based decisions and solutions.

You’ll also need:

• A familiarity with equity, fixed income and currency products, regulations, trading concepts and risks
• Knowledge of trading process and products
• A genuine, demonstrable interest in financial markets
• The ability to apply a technical understanding to data to solve complex problems
• To be adaptable to changing market situations, technology and business needs
• Knowledge of how to assist in the development of policies and procedures
• The ability to work with colleagues at all levels, with good listening and influencing skills