Our client are a leading HFT house and they are looking for a Market Abuse Surveillance professional to join the team.
Monitor trades for compliance with local regulations.
Monitor trading books for risk limit breaches for escalation.
Support the broader Risk and Compliance Team with ad-hoc tasks
as may be required during less busy periods.
Key tasks Perform pre-trade and post trade compliance monitoring to ensure
the trades are in line with desk mandate restrictions guidelines.
o Work with the HOC to maintain a compliance culture within
the business.
o Evolving the framework of compliance monitoring and
carrying out compliance monitoring activities to include
call reviews, file reviews and thematic reviews based on
risk assessment.
o Handle staff dealing approval, monitoring and review
staff dealing-related reports
o Support disclosures of interest and other regulatory
reporting and filing for MAS UK.
o Support on licensing related matters and other regulatory
filing and liaise with UK and EU regulators on their
enquires.
o Coordinate with IT on system enhancement and user-
acceptance testing for features related to compliance
o Assist in other tasks assigned and ad-hoc projects
including due diligence checks.
o Reviewing current/future regulatory changes and
providing recommendation to the business on likely
impact.