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Trade Surveillance Manager - London

Employer
Jameson Legal
Location
England, London, City of London
Salary
£60000 - £70000 per annum
Closing date
20 Aug 2021
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Job Details

A prestigious Boutique Investment Bank is looking for an experienced trade surveillance professional to join their Compliance team, initially on a 6 month contract but with the intention of the role becoming permanent (this is a new role). You will be heavily involved in continuing to build out their trade surveillance programme across Europe.

THE RESPONSIBILITIES:

  • Reviewing and analysing surveillance alerts and/or reports relating to firm, employee, and client trading activity.
  • Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately.
  • Working with other compliance colleagues to design and assist in the development of new trade surveillance controls.
  • Liaising with Advisory Compliance Officers and/or the Control Room on trade surveillance monitoring related issues, together with appropriate Front Office employees when required.
  • Gathering and analysing trade data to assist in the Firm's response to inquiries received from governmental and exchange regulatory bodies.
  • Additionally, supporting the compliance group in evaluating surveillance results for potential problems, communicating surveillance findings to management in a clear and concise manner as well as interacting with legal and other compliance personnel.
  • Responding to inquiries or requests from internal partners.
  • Assisting with the design and implementation of new surveillances as well as the refinement of existing ones. Interacting with IT and Systems teams on the specific design and testing of new systems.
  • Carrying out e-communications surveillance and formulating appropriate policies.
  • Preparing relevant MI.
  • Additional duties as assigned, including to support any conduct related risk framework.

EXPERIENCE REQUIRED:

  • Broad knowledge of the UK regulatory framework, including an excellent understanding of the FCA Conduct of Business, EU Market Abuse Regulation, and global Market Abuse framework.
  • Sound working knowledge of applicable laws and regulations.
  • Experience in trade surveillance, a trading background within wholesale markets (equities, Fixed income, FX).
  • Strong project management and organizational skills, and capability to handle multiple projects at one time.
  • Proficiency in MS Office applications (Excel, Word, PowerPoint).

For a confidential chat about this or other roles he is handling please contact Matt Pollard in the Jameson Legal London office. matt.pollard@jamesonlegal.com

Jameson Legal acts as an employment business for temporary recruitment and as an employment agency for fixed term contract and permanent recruitment.

To view a list of other current job opportunities, please visit www.jamesonlegal.com

Company

Jameson Legal is a multi award winning international consultancy specialising in the recruitment of lawyers and legal personnel. Our clients include many of the leading international law firms as well as the in-house legal departments of major private companies and publicly listed multi-nationals. 

We have dedicated teams of specialist consultants focusing on:

- Local and international private practice recruitment;

- Local and international in-house recruitment;

- Partner and General/Regional Counsel level recruitment and search.

Jameson Contract Solutions ("JCS"​) is part of Jameson Legal and provides lawyers to work on an interim basis. Through our existing network we can provide clients with a selection of the very best lawyers on the market. These lawyers are carefully vetted to ensure that they are of the highest standard. They are ready to work both nationally and internationally.

Jameson Legal Tech is an innovative new service, where we are working with pioneering legal tech and venture capital companies to expand into new markets. Our initial partnership with App4Legal - Legal Practice Management Software is a ground breaking development for Jameson Legal, giving our clients and candidates the opportunity to employ a "best in breed" legal technology.

Find Us
Website:
Telephone
020 3427 3148
Location
24 Greville Street
London
London
EC1N 8SS
United Kingdom
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