Senior Trade Surveillance Analyst

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Senior Trade Surveillance Analyst Apply
locations
London
time type
Full time
posted on
Posted Yesterday
job requisition id
CMC3902
We are currently recruiting three Senior Trade Surveillance Analyst's on 6 month fixed term contracts.Within the role you will be assisting the Financial Crime Manager (Pillar 1) in trade surveillance reviews, investigations, and reporting.*** Please note that this role is onsite and would require 5 days per week in our London office near Liverpool Street. ***ROLE AND RESPONSIBILITIESTake responsibility for specific trade surveillance alerts as part of the global monitoring on a T+1 basis of all clients’ trading activity in line with the agreed monitoring procedures, as amended from time to time.Assist with the design, implementation, and thereafter review of, monitoring alerts for new products as introduced by the business and outside of the existing suite of monitoring reports.Assist with the design, implementation, and thereafter review of, CMC hedge trade monitoring alerts.Advise of refinements to existing Trade Surveillance report, according to industry best practice and regulatory guidance.Identifying, investigating and reporting clients to the Financial Crime Manager (Pillar 1) and/or Head of Department, whose individual trades and/or trading style is suspicious and potentially illegal, in breach of CMC Markets’ TOBs or would impact negatively on CMC Markets’ overall revenue.Reporting Filing Suspicious Transaction and Order Reports (STORs) and/or Suspicious Activity Reports (SARs) to the FCA and NCA within the timelines agreed with by Financial Crime Manager (Pillar 1) and/or Head of DepartmentHandling all follow up enquiries and new information requests from the FCA regarding trading activity.Responsible for the review and updating of Trade Surveillance procedure documentation as requested.Checking all trades manually entered on clients’ accounts by CMC Markets employeesHelping to identify new ways clients can take advantage of our platform and helping to establish new controls to stop this from happening.Monitoring trades to ensure that these are being processed in line with our Best Execution obligationsSurveillance of trading desks to ensuring we are performing activities in line with our Treating Customer Fairly and Best Execution obligations and to ensure no misconduct is occurring.Assisting with other areas of Trade Surveillance, Financial Crime and Compliance as required.Dealing with ad hoc queries from the business and other control functions.Maintain
personal/professional
development to meet the changing demands of the role, including all relevant regulatory and legislative training, internal and/or external.When dealing with all customers, clients or colleagues ensure that we provide a clear, fair and consistent high-quality service that presents a professional and positive image of CMC MarketsTake all reasonable steps to ensure appropriate confidentialityUndertake such other duties, training and/or hours of work as may be reasonably required, and which are consistent with the general level of responsibility of this roleKEY SKILLS AND EXPERIENCEA good understanding and knowledge of financial markets and CMC Markets’ productsPrevious experience within Trade Surveillance role with focus on Securities fraud and Insider TradingAccuracy and clarity when reporting or responding to regulatorsExcellent attention to detailExcellent numeracy skillsAbility to make quick decisions and prioritise workloadStrong ability to communicate and build rapport with other departmentsAdaptable and resilient in the face of changing prioritiesWillingness to show initiative and move the department forwardCMC Markets is an equal opportunities employer and positively encourages applications from suitably qualified and eligible candidates regardless of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age.
About Us CMC Markets is one of the world’s first ever fin-tech companies and was launched in 1989 to break down the barriers of financial trading and make trading accessible to everyone.
Our mission is to use our award-winning, Next Generation trading platform and unparalleled client service to empower millions of people to have the best trading experience out there. Our clients can trade on thousands of instruments using the best technology, supported by sophisticated charting, competitive pricing and automated execution.
We're trusted by investors globally, but also by banks, brokers, funds and trading desks though our top-tier liquidity institutional offering, enabling these businesses to expand into new markets and increase revenue potential.
We were recently listed on the FTSE250, and our business continues to go from strength to strength as we continue to invest in our technology and our people.
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