This is an opportunity to join a successful financial brokerage business to develop a robust trade and communications surveillance infrastructure
The Role
Trade and communications surveillance provide the firm with systems, processes and controls to ensure compliance with the Market Abuse Regulation, and other relevant regulations and standards to prevention and mitigation of abuse risk. This role is responsible for working with the Head of Compliance to develop a robust trade and communications surveillance infrastructure, working with the firm’s various departments and front office staff to review and improve controls, ensuring compliance with regulatory obligations.
Responsibilities
- Lead the design and delivery of a robust trade and communications surveillance framework.
- Review trade surveillance solutions and systems.
- Ensure processes and procedures are communicated.
- Take ownership of and develop the surveillance infrastructure.
- Coordinate the internal investigation and escalation of potential issues and documenting appropriate actions and regulatory notifications.
- Assist in regulatory or exchange enquiries and investigations
- Manage the assessment of evidence to support escalation or closure of investigations.
- Support the completion of Suspicious Transaction Order Reporting (STOR) filings
- Provision of periodic management information and performance and risk metrics
- Oversee, develop and guide team members.
Skills & Qualifications
- Previous experience of developing, documenting and implementing trade and communications surveillance programmes.
- Previous experience of communicating with exchanges and regulators.
- Excellent presentation skills - ability to communicate clearly and concisely both verbally and in writing to support functions, front office staff and management teams.
- Previous experience of derivative, commodity and FX brokerage businesses, whether though Compliance experience or working within the business or other control functions.
- Previous experience of using trade and communications surveillance systems
- Ability to identify the key market abuse risks in the area subject to testing and to think creatively about how these risks might manifest in practice.
- Good analytical and numerical skills, able to learn new concepts (for example reviewing trading data, looking for trends and exceptions).
- Good interpersonal skills and the ability to build relationships with members of the Compliance Department and employees in the business units and control functions.
- Maintain a detailed working knowledge of key EU /UK regulatory rules, regulations and standards as well as a broad awareness of specific conduct and market abuse regulations
- Attention to detail and proactive.
- Confidence to use own initiative and apply judgment in an in-house context.
- Ability to manage delivery and prioritise work streams
- Ability to be effective under pressure.
- Good presentation and report writing skills
- Enthusiasm and aspiration to learn and develop
Descriptif de l'entreprise
What we do
We source, store, ship and distribute agricultural products including coffee, sugar, molasses and grains. We trade those products around the world, and with some, we process and brand them for industrial customers and the supermarket shelves.
We help many of our customers manage pricing risk through financial products. For others we act as a broker, executing orders for hedge funds and professional traders. And we do our own clearing through exchanges, such as the Chicago Board of Trade and the London Metals Exchange.
Why we do it
There’s a lot of uncertainty in the world – situations change; crops fail – but we’re known for making sure our customers can still do business. It’s a stance we’ve held to be true since 1783.
For us, it’s about managing risk and providing security. For example, we help our farmers grow better-quality crops, more sustainably, by teaching them agricultural techniques that will keep their land productive for future generations.
That way we can help our growers achieve a better, more sustainable standard of living. And we help protect our customers from that price-change volatility with tools such as hedging and futures.
How we do it
We do business across the world, but we’re small enough that business feels personal.
As group of companies, we use our diverse strengths to help our customers succeed – not just the people who buy from us; we think of our colleagues and suppliers as customers too.
