Trade Surveillance - Senior Associate

As part of the EMEA Compliance Surveillance team (“Surveillance”), each team member is aligned to certain business lines and this role specifically, will be part of the Trade Surveillance team covering Information Barriers. Our team utilises and develops electronic tools and integrative techniques to detect potential and/or actual violations of the Firm’s policies and legal/regulatory requirements. Additionally, as part of our team, you will work in close partnership with various Compliance teams and groups across the Firm. If you are driven, proactive with a keen interest in financial markets and Investment Banking activities, you may be the perfect fit for our team.

Job responsibilities:

• Review Information Barriers trade surveillance alerts covering key risks such as Insider Dealing
• Carry out regular non-alerting reviews as well as ad hoc searches
• Engage with business aligned Compliance teams, surveillance technology partners and other key stakeholders
• Collaborate with regional colleagues in identifying program efficiencies and enhancements
• Contribute to different ad hoc projects

Required qualifications, capabilities, and skills:

• You have a good working knowledge of the financial markets, and an interest in the trading of Fixed Income/Equity products
• Previous experience within Investment Banking and/or Control Room highly desirable
• You possess excellent investigative instincts and background/experience in reviewing trade surveillance alerts is advantageous
• You have strong analytical skills and are detail orientated
• You have knowledge of relevant legislation (MAR)
• You have the ability to effectively partner with key stakeholders and technology partners
• Additionally you possess:
  • initiative and judgement
  • the ability to prioritise conflicting demands, be proactive, well-organised and work under pressure
  • skills to work with management and forge strong partnerships with colleagues
  • the ability to work independently and in teams and the readiness to share knowledge
  • strong oral and written communication skills

Preferred qualifications, capabilities, and skills:

• Degree or overseas equivalent would be desirable but not essential
• Experience in the development and implementation of system enhancements including the documentation of business requirements
• Non-English language skills welcome