Responsibilities

General Responsibilities
(E.g. the areas of accountability & authority but not at the level of duties or tasks involved in the role)

• — Market Control: using the Surveillance system to provide real time monitoring of the market place.
• — Surveillance and Enforcement: Monitoring of trades to ensure compliance with FSA Market Abuse Directive and FSA Code of Market Conduct.
• — Follow up and resolution to trading anomalies.
• — Referral to FSA of all suspicious activity. Providing reports and liaison with FSA and other regulators as required.
• — Working with the Head of Compliance on investigations into potential rule breaches.
• — Deal with confidential information in a professional and discrete manner.
• — Responsible for the day to day use and upkeep of the surveillance systems, to ensure that processes and procedures are appropriately followed as part of business.
• — Trend and market analysis pertaining to all Turquoise trading as well as keeping up to date with the market as a whole.
• — Prepare and deliver analysis of trading patterns and general ad hoc market analysis.

Budget Responsibilities

None

Reporting to

Head of Compliance

Number of Direct Reports

None

Candidate profile

Previous Work Experience

 

Specific Experience Required

• — Experience of working in an exchange or ATS environment.
• — Proven experience within high volume trading environments.
• — Experience of Monitoring of trades to ensure compliance with FSA Market Abuse Directive and FSA Code of Market Conduct.
• — Experience of following up and resolution to trading anomalies.
• — Experience of Liaison with FSA to determine monitoring priorities.
• — Excellent communication skills and the ability to influence at all levels.
• — Operating within a rules and procedures environment.
• — Adhering to and enforcing compliance policy and procedures programmes.
• — Has had access and dealt with highly confidential information.
• — Ability to multitask and organise work effectively.
• — Advanced knowledge of Microsoft Excel (incl. pivot tables) and Access.
• — Significant systems experience.
• — Relevant industry contacts.
• — Experience of technical trading issues.

Additional Desirable Experience

• — Compliance monitoring experience gained within a relevant industry.
• — The implementation of a surveillance system and relevant alerts.
• — Relevant FSA relationships.

Skills & Knowledge

Educational Requirements

Substantial work based experience, but graduate level or equivalent is desirable

Language skills

European language would be desirable but not essential

IT skills

Advanced knowledge of Microsoft Office particularly Excel and Access.

Personal Competencies

A well-organised planner who will follow rules & procedures when appropriate
A good team-player who encourages feedback & seeks help when appropriate
An effective & well-presented communicator both verbally & in writing
An analytical, problem-solver who is able to quickly & accurately identify key issues
A pro-active individual who shows initiative & takes responsibility for their own decisions
An innovator who will thrive in a pressurized & dynamic environment & embraces change
A professional & discreet operator focussed on stakeholder needs

Other Information

Travel requirement
(e.g. European, UK)

UK

Working hours

Business hours with the flexibility to contribute more hours when necessary.

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All CV's should be forwarded to people@tradeturquoise.com