Trade Surveillance Analyst

at  Clarksons

WHAT WE’RE LOOKING FOR

We invite applications from candidates who can demonstrate:

• Drive and self-motivation, with the desire and commitment to succeed, deliver excellence and make positive change;
• Relationship building, with excellent interpersonal skills and the ability to quickly build rapport;
• Collaboration, able to work well with others across diverse backgrounds to share information, develop skills, and deliver results;
• Resilience with the ability to persist and adapt;
• Smart problem-solving and analytical abilities, with a curious and inquisitive mind, and an openness to new ideas;
• Professional integrity and a respect for company values.

OTHER REQUIREMENTS

• 1 year+ experience in a trade surveillance or similar role
• Self-motivated
• Highly organised
• Strong attention to detail and accuracy
• Highly numerate
• Strong problem-solving skills
• Ability to work effectively within a team environment
• Excellent written and verbal communication skills
• Professional, efficient and able to work well under pressure
• Proactive, with a willing and flexible approach
• Strong IT skills (in Word, Outlook, Excel, and able to learn new systems quickly)

ROLE SUMMARY

We are seeking a Trade Surveillance Analyst to join our London team. The ideal candidate will have some trade surveillance experience, be highly organised, with strong attention to detail and accuracy, as well as strong numeracy skills.

WHAT YOU’LL BE DOING

Monitoring and Surveillance

• Promote good practice within the Firm
• Communication platforms monitoring
• Trade reconstruction
• Trade investigation
• Identify and escalate any potential Regulatory and Exchange breaches
• Incident resolution - Detect and investigate potential breaches

o Fraud and Market Manipulation including Wash Trades
o Regulatory Rule breaches

o Policies and procedures

• Report findings at weekly Compliance meetings
• Monthly reports on Findings to directors
• Monthly meeting with directors to discuss findings
• Prepare Management Information reports for quarterly Board Meeting
• Assist with regulatory and/or exchange queries.

Training

• Conduct regular training sessions for M&S stakeholders (IT, Brokers, Compliance)
• Liaise and assist brokers in understanding good practice
• On desk advisory function

Updates on Industry Findings

• Monitor industry development and trends
• Identify gaps in the firms monitoring and surveillance policies

Policy and Procedures

• Advise senior management of M&S best practice
• Maintain and update policies and procedures in line with best practice
• Act as a strategic partner and advisor to the business on communication recordings matter, understanding the impact of regulatory change and implementation

System and Controls

• Identify systems and controls failings and implement remedial action
• Liaise with IT to ensure adherence to control checks
• Monitor effectiveness of policies and procedures
• Additional / ad hoc duties as required to meet the needs of the business.