Senior Trade Surveillance Analyst

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 RESPONSIBILITIES

• Take 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 Department


• Handling 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 employees


• Helping 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 obligations


• Surveillance 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 Markets


• Take all reasonable steps to ensure appropriate confidentiality


• Undertake 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 role
  
  A good understanding and knowledge of financial markets and CMC Markets' products


• Previous experience within Trade Surveillance role with focus on Securities fraud and Insider Trading


• Accuracy and clarity when reporting or responding to regulators


• Excellent attention to detail


• Excellent numeracy skills


• Ability to make quick decisions and prioritise workload


• Strong ability to communicate and build rapport with other departments


• Adaptable and resilient in the face of changing priorities


• Willingness to show initiative and move the department forward