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Our client is a Global Financial Broking firm in London.
Position: Client Onboarding KYC Associate. 5 days a week in London.
Additional roles include: Administration Assistant – Financial Services.
Our clients include a Financial Market making company and a Wealth and Asset Management firm.
Date: 17 Jul 2024
Sector: FINANCIAL MARKETS
Type: Permanent
Location: London
Salary: £33,000 - 35,000 per annum
Email: duncan@taylorjamesresourcing.com
Ref: db0374723
We are seeking a candidate with 12 months Compliance / Trade Monitoring Surveillance experience to join a Trading Surveillance team.
The main responsibilities include:
- Assisting in market surveillance and monitoring processes of trading derivatives.
- Data handling and analysis.
- Trade surveillance of Derivatives trading, including Energy Contracts, Commodities, and other financial instruments.
- Awareness of regulatory risks related to Market Abuse and Trade Surveillance.
- Understanding trading strategies and identifying anomalous activity.
- Preparing daily reports analyzing trading patterns.
- Assisting in formal investigations.
- Data analysis for ad hoc projects.
Additional duties involve:
- Monitoring communication platforms.
- Trade reconstruction and investigation.
- Identifying and escalating potential Regulatory and Exchange breaches.
- Incident resolution, including detection and investigation of breaches.
- Addressing Fraud and Market Manipulation, including Wash Trades.
- Ensuring compliance with Regulatory Rules.
- Documenting policies and procedures.
- Reporting findings in weekly Compliance meetings and monthly reports to directors.
- Participating in monthly meetings with directors.
- Assisting with regulatory and exchange queries.
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