Job Description

  • Assist the Trade Surveillance Manager (Pillar 1) in trade surveillance reviews, investigations, and reporting.
  • Take responsibility for specific trade surveillance alerts as part of the global monitoring on a T+1 basis of all clients’ trading activity in line with the agreed monitoring procedures, as amended from time to time. 
  • Advise of refinements to existing Trade Surveillance report, according to industry best practice and regulatory guidance.
  • Identifying, investigating and reporting clients to the Trade Surveillance Manager (Pillar 1) and/or Head of Department, whose individual trades and/or trading style is suspicious and potentially illegal, in breach of CMC Markets’ TOBs or would impact negatively on CMC Markets’ overall revenue.
  • Reporting Filing Suspicious Transaction and Order Reports (STORs) and/or Suspicious Activity Reports (SARs) to the FCA and NCA within the timelines agreed with by Trade Surveillance Manager (Pillar 1) and/or Head of D...

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