If you are interested in this candidate, please contact Charlie Watson via email cwatson@cerfinancial.co.uk or call on 0207 626 6065.
00179725
PROFILE:
An experienced, motivated professional within financial markets covering: Compliance, Operational Risk & Control, Monitoring & surveillance, market abuse. Over the past years, I have worked in various companies and roles. I have product knowledge of Equities, Fixed Income (Credit/Rates/bonds), FX, Derivatives, LIBOR submission. Additionally, I have worked on various projects including market conduct, lookback, and remediation projects, as well as system implementation/ enhancement projects for e-comms and trade surveillance. Cross-border tax investigation/Anti-money laundering and tax evasion.
SKILLS:
- Word, Excel, Tableau and Power Point.
- Programming skills: Python, SQL, ‘R,’ VBA, Financial modelling skills
- Familiar with analytical/statistical packages such as E-views, Maple, Stata, SPSS
- Bloomberg, Reuters
EDUCATION:
University
Master’s degree in economics (Distinction)
University
Diploma of Business and Economics (equivalent to a bachelor’s and master’s degree)
CAREER HISTORY:
February 2024 – October 2024 | Contract
Banking
Trade Surveillance SME, Systems calibrations & Data Analysis
- Monitor trading activity – use large datasets/analyse data (KQL)
- Investigating market abuse alert types (Insider Trading, Off Market, Wash Trading, Ramping, Layering)
- SME in MAR regulations, investigating potential market abuse scenarios and conducting risk-based, event-driven surveillance.
- Drafting and Raising STORS to the FCA.
- Market abuse systems calibrations
April 2022 – October 2023 | Contract
Banking
Monitoring, Testing & Controls - Surveillance
- Perform monitoring and testing utilizing a mix of vendor-based solutions; in-house solutions and manual/tactical approaches.
- Carry out surveillance with the aim of identifying any attempt by clients or members of staff of the firm to commit financial crime, market abuse, and manipulation, protect against market conduct or any other breach of rules or regulations.
- Monitor trading activity and investigate alerts – use large datasets.
- Follow regulatory requirements applicable to ensure each business is appropriately supported and to maintain the legal entity integrity.
- Collaborate with external auditors and play key role during the audit period. Representing the company in various meetings. Draft documents to be submitted to external audit.
- Assist in preparing MI reports.
- Participating in Risk assessments and recommend processes and procedures to strengthen internal controls.
February 2021 – April 2022 | Contract
Marketing Agency
Research Analyst (Equities)
- Conduct market and economic research in order to produce reports that are used to make investment decisions.
- Structuring equity reports to be used for making stock recommendations to asset managers.
- Interview subject-matter experts across a broad spectrum of companies via telephone to gather valuable insights on the prospects of a sector, company, or product.
- Draft surveys containing aggregated insights and provide them to our clients - institutional investors, to assist them in realizing greater returns on their related investment cases.
- Review insights for any suspected material non-public information prior to delivering surveys to investors and alert the Compliance team whenever necessary.
June 2019 – December 2019 | Contract
Capital Management
Compliance Monitoring officer (Market abuse)
- Completing Best execution and Market Abuse monitoring (Equities, Fixed Income)
- Preparing monthly reports in regard to the monitoring activities conducted
- Resolving escalated alerts appropriately and promptly, documenting results clearly and escalating possible exceptions as appropriate
- Monitoring investment guidelines and restrictions
- Market abuse systems calibrations
- Assisting with the design and deployment of new controls. Working with key stakeholders to identify enhancements to the surveillance programme
November 2018 – May 2019 | Contract
Financial Institution
Monitoring officer - Market abuse SME
- Performing surveillance on a daily basis of automated system alerts and identify and investigate potential market abuse (Fixed Income, FX derivatives and Equity derivatives)
- Coordinate requests for information from regulatory authorities and exchanges.
- Market abuse systems calibrations - Supporting the ongoing development of compliance systems and working on large/strategic projects.
- Working on analytics and data integration projects with the aim of streamlining processes and increasing efficiency
- Carry out desk-based reviews, and regular information submissions to regulators.
May 2018 – October 2018 | Contract
Banking
Compliance Officer /Trade Surveillance
- Performing surveillance on a daily basis of automated system alerts
- Strong understanding of UK and European regulatory requirements (FCA regulations/Market abuse, MAR, MAD, MiFiD II, Insider Dealing)
- -Supporting the ongoing development of compliance systems and working on large/strategic projects
- Liaise with Internal Audit, External Audit and Compliance Advisory and Monitoring as required.
February 2017 – April 2018
Financial Services
Compliance Officer
- Review automated system alerts.
- Submission reviews (Benchmarks)
- Determining the importance of alerts, escalating appropriately, and ensuring that all remediation steps are completed and documented.
- Review internal policies, procedures, and controls.
August 2015 – February 2017
Business Process Outsourcing Company
Compliance & Testing Officer
- Overseeing/ being part of Market abuse systems transitions and implementations.
- Performing surveillance on a daily basis, escalating and following up issues to a successful conclusion (including the drafting of STORs)
- Daily analysis & investigation into alerts generated by Automated Trade Surveillance solutions.
- Ensuring that monitoring procedures and parameters are updated to facilitate change in business and market conditions.
LANAGAUGES:
- English, Greek and German.
If you are interested in this candidate, please contact Charlie Watson via email cwatson@cerfinancial.co.uk or call on 0207 626 6065.
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