The primary objective of the role will be to assist in the delivery of surveillance monitoring and oversight of the Winterflood businesses and to provide ad-hoc support to the wider Compliance team

REQUIRED SKILLS AND KNOWLEDGE

• ~3 Years experience in Trade Surveillance within Financial Services (Equities/Fixed Income)
• Thorough regulatory knowledge of Market Abuse (MAR)
• Proficient in a programming language i.e. Python, and SQL (desired)
• Strong academic background educated to A-Level (or equivalent) and upwards
• Highly analytical with strong attention to detail
• Strong Microsoft Excel skills
• Adept at building relationships with a multitude of different stakeholders

KEY RESPONSIBILITIES

• Working with the Surveillance Team to assist in the completion of trade surveillance and related front office monitoring activities as part of the firm’s compliance monitoring procedures;
• Provide advice and assistance to front office staff in resolving compliance and regulatory issues arising from sales and trading activities;
• Liaise and communicate with all internal stakeholders to ensure a consistent and effective risk based approach, compliant with professional standards, is deployed across the trading floor;
• Resolve trading issues to the satisfaction of both the Company and clients in compliance with regulatory obligations;
• Provide analysis of large trade and order data sets using existing (or developing) skills;
• Participation in the delivery of the firm’s market abuse training programme;
• Perform ad-hoc governance duties as required;
• Relevant coding and/or excel skills to provide analysis over large data sets; and
• Study for relevant CISI qualification or equivalent.