About the Role
Assist the Trade Surveillance Manager (Pillar 1) in trade surveillance reviews, investigations, and reporting.Take responsibility for specific trade surveillance alerts as part of the global monitoring on a T+1 basis of all clients’ trading activity in line with the agreed monitoring procedures, as amended from time to time. Advise of refinements to existing Trade Surveillance report, according to industry best practice and regulatory guidance.Identifying, investigating and reporting clients to the Trade Surveillance Manager (Pillar 1) and/or Head of Department, whose individual trades and/or trading style is suspicious and potentially illegal, in breach of CMC Markets’ TOBs or would impact negatively on CMC Markets’ overall revenue.Reporting Filing Suspicious Transaction and Order Reports (STORs) and/or Suspicious Activity Reports (SARs) to the FCA and NCA within the timelines agreed with by Trade Surveillance Manager (Pillar 1) and/or Head of D...