Trade Surveillance Associate

Overview

Join us as a Trade Surveillance Associate

• We’ll look to you to be responsible for the monitoring of and handling escalations arising from trade surveillance activities for our Natwest Markets through alert reviews to ensure compliance with market abuse and relevant market conduct policies
• You’ll be seen as a surveillance subject matter expert, as you assist in providing in-depth analysis of alerts, including the use of market data, source system data, and market data
• You’ll be a manager of a pool of surveillance analysts overseeing the work of surveillance analysts to ensure compliance with surveillance governance and operating standards
• As a key member of our team, you’ll enjoy extensive collaboration and can expect great visibility for you and your work

As a Trade Surveillance Associate, you’ll be monitoring trading activities and handling escalated cases to ensure adherence with policies and procedures, in line with regulations. You’ll be proactively identifying potential or actual emerging risks and driving control enhancements to make sure that surveillance activities operate efficiently and provide appropriate risk mitigation.

You’ll also be:

• Contributing to the improvement of existing surveillance systems as well as assisting in driving new technological solutions
• Supporting the development and implementation of an annual surveillance programme of work
• Making judgements on whether alerts are potentially concerning
• Keeping up to date with changing regulations and policies
• Collating data sources for the provision of meaningful management information and documentation for regulatory and business reporting
• Developing junior analysts in market abuse surveillance and financial markets understanding and providing them with regular feedback to develop their surveillance skills and financial market knowledge
• Liaising with vendors, Compliance IT, stakeholders and other members of surveillance, including communications surveillance
• Responsible for the delivery of Quality Assurance testing

We’re looking for someone with experience of, or a strong interest in, financial markets, market abuse regulation and financial services businesses. You’ll also need a foundation of technical and analytical ability, coupled with a familiarity with FX and fixed income markets regulation, electronic trading concepts and risks. Good stakeholder and people management skills are required for the role.

In addition, you’ll need:

• The ability to apply a technical understanding to data in order to solve complex problems
• Knowledge of trading process and products
• The ability to source and assess multiple data and information points to help make risk based decisions and solutions
• Excellent logical, analytical skills and attention to detail
• The ability to work with colleagues at all levels, with good listening and questioning skills, influencing, leading and facilitating dialogue