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Trade Surveillance Associate

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Salary Competitive
Type Permanent
Location Birmingham
Sectors Compliance
UK & Regional
Job Reference UK01/NXC/27054
Contact Nicola Cooper
Date posted 25-09-2017

One of our prestigious Banking clients is looking for a Trade Surveillance analyst to join their team on a permanent basis, at an Associate level. You will be part of the trade surveillance and communications initiatives. This opportunity is based in Birmingham and is a great chance for an individual to take the next step in their career within compliance.

Key Responsibilities

• Partake in the process of the communication expansion through emails.
• Oversee and look into surveillance alerts and escalations in good time and know when to take action due to barriers
• You will be a vital participant in compliance planning strategy meetings and you will have to give input into parts of that strategy
• Look over all surveillance related alerts for possible breaches of laws, regulations and internal policies
• Know how to deal with complex processes such as making judgement calls
• Identify, Monitor and Test areas of compliance risk through developed methodologies
• Support your colleagues on a daily basis with their operational issues and carry out staff development plans.
• Host and take part in training sessions presenting surveillance to senior stakeholders within the company.
• Work with other compliance teams to be able to ensure that new and existing models are tested and amended to ensure that they are effective for covering alerts.
• Assist and develop staff involved in the surveillance process to make sure that all activities are effective and efficient

Skills and Qualifications

• Understanding of product or market knowledge is favorable especially investment banking ones.
• Experience of conducting investigations
• An individual that can explain complex concepts in a simple way.
• Background within surveillance or trading
• A compliance or regulatory background is favorable
• Financial Services Background
• Bachelors degree or equivalent

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Contact Nicola about this job

Associate, Consultant