Compliance Officer - Trading Conduct and Ethics Analyst
We value quick-witted, creative minds and challenge them to make full use of their capabilities
You’ll be responsible for overseeing and managing conflicts of interest, monitoring trader communications and ensuring adherence to market abuse regulations (MAR). Additionally, the role will involve the continuous monitoring and control of trading desks to prevent unethical behavior and ensure compliance with relevant regulations.
What you will do
Conflict of Interest Management
- Identify, assess and manage potential conflict of interest across the organization
- Review policies and procedures to mitigate conflict of interest risk
Communications Monitoring
- Monitor communications, including emails, chat systems and phone calls, particularly those related to trading activities
- Collaborate with IT and security teams to ensure effective surveillance and monitoring tools are in place
Trading Compliance Monitoring
- Review trading activities to detect patterns of market manipulation, insider trading or other forms of market abuse
- Conduct regular reviews of trading desks activities to ensure compliance with internal policies and external regulations, including exchange rulebook
- Develop and maintain a framework for ongoing monitoring of trading desk operations.
What you need to succeed
- Proven experience in a trading compliance role, with a focus on conduct and ethics, market abuse monitoring
- Strong knowledge of financial products, trading operations and relevant regulatory frameworks (e.g. MAR, MIFID II, etc.)
- Knowledge of European exchange rulebooks is strong plus
- Experience with communication monitoring tools and techniques
- Degree in Law, Business Administration, Finance or similar
- Basic knowledge of Excel, SQL and/or VBA is a plus
- Proactive attitude, excellent attention to detail, communication skills and interpersonal skills
Flow Traders does not accept unsolicited resumes from any professional staffing or search firms. All resumes, and any other information identifying potential candidates, submitted to any employee at Flow Traders via-email, the Internet or directly without a valid and signed search agreement will be deemed free to contact by Flow Traders without any restrictions and no placement fee of any kind will be paid in the event the candidate is hired by Flow Traders.
