Trade Surveillance – Senior Associate/ Associate

The EMEA Compliance Surveillance team (“Surveillance”) monitors and analyses the sales, trading and banking activities conducted by the Corporate Investment Bank and Asset/Wealth Management business as well as undertaking the surveillance of electronic communications (e.g. e-mail, Bloomberg etc.) and telephone communications.   

As a Trade Surveillance – Senior Associate/ Associate in our Surveillance team, you will be a part of the Trade Surveillance team covering Corporate Investment Bank/Wealth Management. 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 Corporate Investment Bank/Wealth Management trade surveillance alerts covering key risks such as Market Manipulation, and 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 Corporate Investment Bank/Wealth Management 
• 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

• Experience in reviewing trade surveillance alerts is advantageous