THE RESPONSIBILITIES:

• Conducting compliance monitoring activities as described in the Compliance Monitoring Program
• Transactions and operations monitoring (uses the Know-Your-Transaction System), understanding and implementing real-time alerting were relevant.
• Ensuring compliance with the firm’s policies and procedures
• Supporting the creation and implementation of enhancements to the automated surveillance system, transaction- and communication monitoring framework and associated policies and procedures.
• Helping to ensure that algorithmic trading requirements, understanding and implementing real-time alerting were relevant.
• Developing and maintaining a broad knowledge of the firm’s business and regulatory framework
• Developing good working relationships internally
• Analysing alerts generated by the surveillance system, also manually or semi-automatically operation and transaction monitoring
• Conducting transactional monitoring reviews
• Writing reports that present monitoring results, capturing findings and actions
• Ownership and tracking of agreed remedial actions through to conclusion.
• Assisting to collate the relevant information for internal and external regulatory audits.
• Developing and implementing robust procedures and processes applicable to monitoring function.
• Other duties as required

EXPERIENCE REQUIRED:

• Experience within Know-Your-Transaction Systems and Compliance Market Surveillance.
• Understanding of market abuse
• Good practical knowledge of market abuse and market manipulation.
• Good AML/CTF knowledge
• Good attention to detail and analytical skills
• Ability to develop relationships internally and with customers and associates of company.
• Ability to understand operations function, as well as front office activities.