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Monitoring and Surveillance Analyst/Associate – London, UK

We are a new centrally-cleared trading venue for digital asset derivatives, authorised and regulated by the UK Financial Conduct Authority.

We are recruiting a Monitoring and Surveillance Analyst/Associate to join our growing team. You will be part of a dynamic and experienced team bringing the features of traditional derivative markets to the rapidly expanding digital asset arena.

GFO-X will be a leader in the new era of regulated trading venues that trade 24/7.

The successful candidate would be someone who can prepare and conduct a compliance monitoring review based on the criteria provided by the Chief Compliance Officer. The role would also be deployed to assist in surveillance alerts investigations.

Responsibilities

  • Set-up monitoring reviews
  • Request appropriate documents, including RCSAs
  • Prepare documents and conduct screening and review
  • Create a gap analysis
  • Identify and hand over to the relevant Subject Matter Experts possible other Compliance issues (AML, Conflict of interest, Bribery & Corruption, Outside interest, etc.)
  • Assist head of Surveillance in analysing market abuse alerts
  • Be responsive to queries about the investigations and related risk mitigation measures raised by Business and Support Units.
  • Disposition alerts for discount or escalation
  • Maintain the case management tool.
  • Produce monthly MI for management forums

Experience

  • University graduate in finance or related discipline is preferred but not a must
  • 3-4 years experience in a bank or exchange (including MTFs) in monitoring or surveillance, or internal audit role
  • Experience using data analytics and technology to provide assurance insights
  • Experience in independently assessing compliance within a broader compliance department is desirable
  • Deeply detailed oriented, with excellent follow-up capabilities
  • Very good interpersonal and organizational skills

This role is to be based out of our London office. GFO-X is an equal opportunities employer committed to diversity and inclusion. Competitive benefits included.

Link

GFO-X
Author: GFO-X