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Trade Surveillance Specialist - Investment Banking
The Role Responsibilities: Conduct thorough daily analysis of automated surveillance alerts through various trade surveillance systems Identifying and escalating any potential concerns or risks relating to, but not limited to regulatory rules such as MAR, MiFID 2 and firm policies; Active involvement in enhancing current surveillance controls and developing new surveillance tools, reports and procedures; ??Providing subject matter expertise to the Compliance function on the performance of the Surveillance function Requirements: Good knowledge of the FCA Handbook (SYSC, COBS) Strong knowledge of European financial markets regulation, e.g. MiFID II/MiFI
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