Compliance Officer - Market Trade Surveillance, Equities, FCA, Market

Job type:
Start date:
Can wait notice period
6 months+
Nexere Consulting Limited
Published at:
flag_no United Kingdom
Project ID:

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Market Trade Surveillance Compliance Officer - Equity Trading, FCA, Market Conduct, Market Abuse Directive (MAR),

As a Compliance Officer working in Market Trade Surveillance you will be reporting directly into the Head of European Compliance and conducting daily surveillance of business conducted through the firm's European arm to identify activity which may indicate market abuse as defined in the FCA's Code of Market Conduct (MAR), breaches of various exchange and trading platform rules or activity which may be considered detrimental to the integrity of the markets on which the firm trades.

Experience must include:

  • Minimum 3-5 years' experience in an equity surveillance role, coupled with trading platform market conduct rules.
  • Good knowledge of the UK FCA's Code of Market Conduct (MAR) and the Market Abuse Directive.
  • Detailed knowledge of market abuse surveillance scenarios and analytical methods to assess trade information.
  • Daily post trade surveillance monitoring, which may indicate possible market abuse or market integrity issues.
  • Understanding of Bloomberg capabilities in supporting analysis of surveillance alerts.
  • Proven analytical skills which may include the analysis of large amounts of order and trade data, whilst maintaining attention to detail.

CISI Financial Services regulation and Securities certified/Diploma in investment Compliance preferred but not essential

For further information and a full job description, please send application to the Daniel King at Nexere Consulting.