ETX Capital
London, UK
Job Description Principle Tasks and Responsibilities:- Main responsibilities of this role include:
Undertake daily trade surveillance activities to address alerts and identify and investigate potential market abuse and improper activity by market participants;
Identify risks/issues and discrepancies and proactively escalate to the Head of Compliance and the MLRO for secondary review as required;
Accurately document review findings and outcomes and support further investigation of suspicious behaviour as required by providing expert insight and technical assistance;
Build relationships with the Front Office and investigate internal escalations;
Preparing and submitting reports to the relevant regulators such as FCA and NCA as required;
Promptly investigate and communicate operational issues arising from trade surveillance activities with relevant stakeholders, e.g. IT for data related issues;
Make recommendations for enhancements to existing processes...