Assist the Trade Surveillance Manager in trade surveillance reviews, investigations, and reporting, taking responsibility for specific trade surveillance alerts
Job Summary
Assist the Trade Surveillance Manager in trade surveillance reviews, investigations, and reporting, taking responsibility for specific trade surveillance alerts.
Identify, investigate, and report suspicious client trading activity to management and file Suspicious Transaction and Order Reports (STORs) and/or Suspicious Activity Reports (SARs) to the FCA and NCA.
Maintain personal/professional development, including regulatory and legislative training, and provide a clear, fair, and consistent high-quality service to all customers, clients, or colleagues.
Matching Summary
Assist the Trade Surveillance Manager in trade surveillance reviews, investigations, and reporting, taking responsibility for specific trade surveillance alerts.
Skills & Requirements
Must-have
trade surveillance reviews
investigations and reporting
monitoring trading activity T+1
reporting to FCA and NCA
financial markets knowledge
regulatory guidance adherence
Nice-to-have
adaptable and resilient
willingness to show initiative
building rapport with departments
clear fair and consistent service
Key Requirements
Previous Trade Surveillance experience preferred
Previous experience using Trade Surveillance systems beneficial