Compliance Surveillance Analyst

The Compliance Surveillance Analyst will help with teh development of a surveillance framework that meets the firm's regulatory obligations to monitor trading activities against market abuse.

Client Details

Our client are a leading energy trading company based in North Yorkshire

Description

The Compliance Surveillance Analyst who will be based in North Yorkshire will be responsible for:

• Identify and lead changes to the surveillance process, automated alerting to drive effectiveness and efficiencies.

Perform periodic reviews on the effectiveness of market abuse patterns and market abuse risk assessment to assess the effectiveness of the surveillance framework

Support the Wholesale Compliance team to deliver physical and financial regulatory compliance across the group

Perform all associated BAU activities with wholesale energy market (REMIT, licences, industry codes) and financial market (EMIR, MAR, MiFID II, FSMA/RAO) regulations

Perform trade, dispatch and electronic communications surveillance monitoring and escalate issues to management

Conduct independent monitoring, reviews and investigations into compliance matters as required

Support 2LOD assurance activities across business functions, implementing and supporting mitigation strategies whilst providing support on 1LOD and 3LOD activities.

Profile

The Compliance Surveillance Analyst should have the following skills:

• A strong academic record in a numerical / business discipline (demonstrated across at least secondary education), or demonstrable relevant experience
• Basic understanding or interest in wholesale physical and financial markets
• Basic knowledge of Wholesale Markets its regulatory framework including REMIT, MAR, (MiFID II, EMIR, TCLC, IOLC, S&P, FSMA and RAO, or transferable skills gained through prior work experience.)
• Prior experience working with commercial teams (including 24 hr trading functions), building trust, confidence and respect whilst challenging the status quo
• Experience participating in projects that involve complex data and influencing the operational culture of a business

Job Offer

Salary of 40,000- 50,000

Attractive benefits package

Hybrid working