Compliance Surveillance

***Compliance - Monitoring & Surveillance Associate*** A leading commodities trading firm with a strong global presence requires an experienced Compliance surveillance professional to join their London team.

DUTIES & RESPONSIBILITIES OF A COMPLIANCE MONITORING & SURVEILLANCE ASSOCIATE

1. Reviewing and analysing surveillance alerts and/or reports relating to firm and client trading activity
2. Reviewing and analysing e-communication surveillance alerts and/or reports
3. Properly documenting the review and resolution of the exceptions as well as escalating matters appropriately
4. Communicating surveillance findings to management in a clear and concise manner
5. Assisting with trade surveillance alert calibration assessments
6. Assisting in the Firm’s response to enquiries received from exchanges and regulators.
7. Preparing relevant MI for senior management
8. Conducting monitoring reviews from the Compliance Monitoring Plan

QUALITIES AND ATTRIBUTES NEEDED TO BE A COMPLIANCE MONITORING & SURVEILLANCE ASSOCIATE

You will have a minimum of 5 years' trade surveillance experience coupled with a strong working knowledge of the LME rules and regulations. Salary up to £85K plus bonus and benefits. Hybrid working available. Please contact me for more details.