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.
- 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
- 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.