CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
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.
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
Internal Number: 6347463
About ED & F Man Holdings Limited
eFinancialCareers is a career site specializing in financial services.