Associate - Trade Surveillance - BFS

Associate - Trade surveillance

- Our client is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.

- Looking to hire candidates with 1-3 years with a background in Compliance, Risk Management, Trade surveillance.

Key Responsibilities:

- Identify and escalate sales & trading activity that appears counter to regulatory guidelines and/or Firm's policies.

- Reviewing internal policy breaches daily, investigate, educate, and escalate as necessary.

- Trend and identify repeat behaviour and establish a process to address recurrence.

- Reviewing electronic communications and escalating where these are not in line with internal policies.

- Create management reports to highlight issues, trends, new regulatory changes etc.

- Support BU projects to create, enhance or develop procedures/protocols.

- Engaging with other regional RCG teams to focus on and deliver increased automation and standardization across applicable surveillance processes.

- Engaging with Sales and Trading contacts and other stakeholders to build awareness of Non-Market Risk and RCG's continued focus on proactive and effective surveillance and supervision.

Qualifications:

- Chartered Accountant or MBA

- 1-3 years with a background in Compliance, Risk Management, Trade surveillance and / or Trading Support focusing on sales and trading issues.

- Exceptional organizational skills and high degree of attention to detail

- Knowledge of Equities markets, understanding of applicable regulatory rules and regulations

- Proficiency in MS Office and related applications (Word, Excel, PowerPoint)