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Trade Surveillance - Compliance

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Salary Competitive
Type Permanent
Location London
Sector Compliance
Job Reference T3A/JOES/30525
Contact Joe Smith
Date posted 20-12-2018

Our client, a leading Global Investment Management firm is currently looking for a Trade Surveillance Analyst to join their Compliance team. This role will make sure that the firm meets its primary regulatory compliance obligations with respect to MAR, Best Execution and Conflicts monitoring.
As the Trade Surveillance Analyst your main responsibilities will include:
• Delivering daily, weekly and monthly Front Office Surveillance monitoring activities effectively and within agreed completion dates (as allocated by the Team Leader) in accordance with relevant documented procedures.
• Maintaining robust working papers for all monitoring procedures undertaken in order to ensure an appropriate audit trail is recorded.
• Jointly manage the completion of the BAU monthly monitoring programme
• Demonstrate a willingness to suggest new monitoring procedures and / or to take forward the development of new procedures.
• Ensure monitoring is performed in a timely manner and in accordance with the agreed procedures.

The successful candidate will have:
• Previous experience working in the Financial services Industry.
• Relevant work experience/unpaid/intern positions will be considered.
• Ability to investigate, analyse and solve problems.
• Able to work on own initiative
For more information on the role please contact Joe Smith joe.smith@bruinfinancial.com or on 02031453376

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AVP, Consultant