If you are interested in this candidate, please contact Charlie Watson via email cwatson@cerfinancial.co.uk or call on 0207 626 6065.

0186275

QUALIFICATIONS:

• Chartered Institute of Securities & Investment Unit 2 Securities
• Chartered Institute of Securities & Investment Unit 1 Financial Regulations
• ICA Specialist Certificate in Conduct Risk
• ICA Certificate in Compliance
• ICA Specialist Certificate in Financial Crime Risk in Global Banking and Markets
• ICA Certificate in KYC and CDD

CAREER HISTORY:

October 2024 – Present

City based Fund Manager

Trade surveillance

• Market Abuse implementation of Steeleye Trade surveillance system / Best Execution review
• Market Soundings / MNPI review / (PAD, Conflicts, G&E) / EComms review

April 2024 – June 2024

Trading

Trade Surveillance officer - Bridging contract

July 2021 – March 2024

Banking

Trade surveillance

• Review the Monitoring & Surveillance SMP (review, investigation, and timely closure of surveillance alerts for EQ, FI, and FX), primarily utilizing Bloomberg BTCA. Update procedures and test plans in line with MAR. Review daily Derivatives report. Ensure deliverables are conducted on time, action daily and action periodical ad hoc monitoring reviews, e.g. Control Room MNPI, Chat Room creations, Front Running Tokyo research publication releases, PA Trading reviews and Alpha Capture.
• Review Source One and Bloomberg Vault tools for Market Abuse activity.
• Develop, create and update SMP tests to maintain its effectiveness.
• Provide monthly MI and KRI to management.

July 2019 - June 2021

Travelling / Jury Service / Pandemic Guide Dogs Fosterer / Study & Exams / JS

July 2018 - June 2019

Banking

(Compliance) Trade Surveillance & Monitoring

• Remediate & review existing surveillance reports, calibrate parameters in BTCA to MAR standard.
• Create GAP analysis for new vendor NASDAQ SMARTS project to demonstrate system capabilities.
• Identify Compliance Surveillance requirements for new MUFG BREXIT entity and Spoofing Project.
• Train Trade Surveillance staff in BTCA platform capabilities and functionality.
• Remediate Trade Surveillance and Best Execution alerts in BTCA across existing asset classes. Scope & Create Traders Mandatory Leave Report. Review the Surveillance Lexicon Library.
• Systems Bloomberg, Bloomberg Vault, EMSX, TOMS, BTCA, Global Relay, Fidessa.
• Asset classes reviewed Equities, Fixed Income, FX, and Derivatives (Futures & Options)

June 2017 - June 2018

Banking

Compliance Surveillance & Monitoring

• Remedial review for Global Markets for Market Abuse, Best Execution with BTCA and Liquid Metrix.
• Investigate and identify suspicious alerts for escalation, close false positives with recorded evidence.
• Produce monthly KRIs, MI and backlog status related to trade surveillance reviews, Draft FCA STORs
• Review existing trade surveillance guidance notes and procedures and update accordingly.
• Assist London and Boston office to improve and optimize the BTCA trade surveillance and monitoring for MAD, MAR for Equities, Fixed Income, FX products.
• Jan 2018 created and developed the MIFID2 Compliance oversight for Transaction Reporting activities.
• Execute monthly second line of defence e-comms surveillance FX activities with Global Relay,
• Symantec, Bloomberg Vault.

October 2015 - June 2017

Banking

(Compliance) Trade Surveillance & Monitoring

• Implement the Bloomberg BTCA Trade Surveillance platform for Market Abuse & Market Conduct Assist in the development of Reports, Parameters, Guidance Manuals, and monthly MI.
• Perform daily trade monitoring and surveillance with e-comm platforms Bloomberg Vault & Source One. Carry out initial assessment of exceptions generated in Bloomberg BTCA for suspicious transactions Delegate BTCA Trade Surveillance alerts to trade surveillance analysts.
• When required escalate, draft, and submit STORs to the FCA.
• Execute the monthly CMP (Compliance Monitoring Plan) Thematic reviews, including Control Room & Information Barrier Breaches, Desk reviews, Chat Rooms reviews, Chinese wall reviews, PA trading, G&E, TCF & ad-hoc testing reviews. Fidessa system reviews.
• Attend Bi-weekly Compliance/Risk Steering Committee to discuss regulatory change,

July 2015 - October 2015

Banking

Trade Surveillance

• Trade surveillance and monitoring programme SME
• Assist with the final project function.
• Create Market Abuse and Market Conduct reports on BTCA Contribute to the drafting of the Trade Surveillance Procedures Manual

May 2014 - November 2014

Insurance

DCM

• Escalation points for KYC, AML & CTF queries from Account Managers & On-boarding team Provide advice and guidance on Corporate & Retail client EDD risk evaluation.
• Review Watch list, Undertake Transaction monitoring on client accounts Review internal SARs received and escalate to Compliance manager High Risk country payment monitoring and PEP reviews.
• Monitor Sanction lists and queues for OFAC, HMT with Sentinel World-Check

January 2008 - January 2014

Trading

Compliance & Trade surveillance officer

• Monitoring and conduct Trade surveillance in relation to Equity Sales & Trading, manage daily alerts, Undertake review of the daily Suspicious Transactions Reports & Market abuse reports. Identify and escalate any suspicious transactions to CCO. (Contributed to engineering new report with developers and Head of Compliance)
• Monitor regulatory rules and action recommendations to ensure that new developments are appropriately reflected. Short selling, Transaction Tax, Algo flags.
• Provide advice and guidance to the Sales and On-boarding team to ensure we are meeting our COBS, KYC, AML rules with potential new clients, including Management, Ownership, PEP and Visit reviews have been completed.
• Assess and approve new clients and that they meet requirements set out by the FCA, JMLSG, FATF, MIFID, SEC Patriot Act & Due diligence checks, check restricted & Sanction lists including HMT and OFAC.
• Provide Regulatory training for new staff in FCA rules, KYC, AML, Market Abuse, Financial Crime, Anti- Bribery Corruption, Conflict of Interest, and company policies. Staff complete a computer-based test after training before they are switched on for Tradebook Functionality.
• Provide yearly mandatory regulatory training and education for existing staff for FCA rules and take note of attendance records.
• Review Market Risk throughout the day including clients Mark to Market, clients trading through their limits, monitor if the Execution trading desk has logged error tickets and review any items outstanding at the COB.
• Liaise with Back-office operations & Middle office on risk related issues regarding clients lacking funds to settle trades, high value dated fails and confirmations.
• Maintain and review staff PA Trading with monthly activity statements using the STAR system for checking breaches and violations to rules and policies. Preapprove trading requests. Escalate findings to management.
• Review monthly electronic communication & conflict of interest register.
• Overseeing daily FCA Transaction reporting via ARM Unavista and investigate any exceptions or rejections and speak to FCA if necessary.
• Organise Courses and CISI exams for CF30 candidates Approved persons.
• Working on ad-hoc projects as and when required.

January 2007 - December 2007

Banking

Senior Settlements Clerk

September 2003 - December 2006

Investment Bank

Fixed Income Trade Support Analyst

References Available Upon Request

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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