Trade & Transaction Reporting Role - BFS (3-10 yrs)

Key Activities

- Review L1 trade surveillance alerts subjectively and escalate appropriate alerts to Level 3 Market Surveillance analysts based in London.

- Ensure record keeping of near misses and alert dispositioning rationale.

- Support investigations of suspicious behaviour by providing expert advice and technical assistance.

- Act as subject matter expert in relation to primary areas of responsibility.

Key contacts/working relationships.

The role will require working within a wider team of Trade Surveillance experts but will need to build relationships with other senior compliance colleagues.

- Support the Market Surveillance in the investigation of suspicious behaviour.

- Work closely with Level 1 analysts locally and Level 3 Analysts in London.

- Liaise with AML Compliance Officers to ensure that a suitably joined up approach to monitoring and surveillance functions is adopted.

- Work with Advisory Partners and business in order to investigate issues identified.

- Work closely with other departments where required.

- Escalation of significant regulatory issues to the appropriate person.

- Share information as appropriate with other members of the Compliance department and the wider group.

Key outputs and key performance indicators

- Production of detailed log of identified money laundering, market abuse issues and improper activity.

- Production of escalation reports to notify the Market Surveillance & Conduct Manager and Head of Compliance/MLRO of issues.

- Achieve greater detection of potential money laundering, market abuse issues and suspicious transactions.

- Positive contribution to the Compliance department.