Compliance Surveillance
Core
Reviewing and analyzing trading and e-communication surveillance alerts, documenting resolutions, and communicating findings to management.
Role type
Associate compliance surveillance analyst
Builds
Trade surveillance reports and management information (MI)
Domain
Commodities trading / Financial regulation
Deliverable
dashboards & analysis
Required skills
Trade surveillance analysis, LME rules and regulations knowledge, regulatory reporting, exception documentation, escalation procedures
Preferred skills
Calibration assessments, regulatory enquiry response
Responsibilities
Reviewing and analyzing surveillance alerts and reports relating to firm and client trading activity, Reviewing and analyzing e-communication surveillance alerts and reports, Documenting the review and resolution of exceptions and escalating matters appropriately, Communicating surveillance findings to management, Assisting with trade surveillance alert calibration assessments, Assisting in the Firm's response to enquiries from exchanges and regulators, Preparing relevant MI for senior management, Conducting monitoring reviews from the Compliance Monitoring Plan
