Manager, Trade Surveillance

4 weeks ago

Dubai, United Arab Emirates RJ OBRIEN & ASSOCIATES LLC Full time

**Job Title**: Manager, Trade Surveillance

**Business Unit**:Compliance

**Location**:Dubai

**Direct Reports To**:Director of Compliance

Indirect Reports to: Chief Compliance Officer EMEA

**Position Summary**:
The Manager, Trade Surveillance reports to the Director of Compliance and will be primarily responsible for providing trade surveillance services including transaction monitoring, market abuse surveillance & communications monitoring.

In addition, the Manager, Trade Surveillance will be responsible for implementing, developing and maintaining policies and procedures and working with the Director of Compliance and/or Chief Compliance Officer EMEA to develop and implement a revised regulatory framework around the global compliance and regulatory surveillance space as it relates to RJO’Brien (MENA) Capital Limited.

**Duties & Responsibilities**:
Responsibilities include, but are not limited to:

- Developing and maintaining a good understanding of the Firm's business and the regulatory framework in which it operates. This includes a very good understanding of the DFSA rules and where appropriate, exchange trading rules and regulations.
- Developing good working relationships with Broking staff, Operational staff and Senior Management.
- Liasing with the trade surveillance monitoring team at the UK office to analyse alerts generated by the automated surveillance system. Evaluating matters, issues and concerns to appropriately close or escalate to Director of Compliance and Chief Compliance Officer EMEA
- Performing monitoring and/or desk reviews, as detailed in the Compliance Monitoring Programme and/or Trade Surveillance Programme, which are designed to identify compliance with the Firm’s policies and procedures, evaluate issues/concerns and appropriately escalate to Director of Compliance and/or Chief Compliance Officer EMEA
- Conducting communications monitoring (voice and electronic) to ensure compliance with the Firm’s policies and procedures, evaluate issues/concerns and appropriately escalate to Director of Compliance and/or Chief Compliance Officer EMEA.
- Writing reports that present monitoring results, capturing findings and remedial actions identified in order to mitigate the firm’s risks.
- Tracking agreed remedial actions through to conclusion.
- Providing, where necessary, routine and ad hoc training to the business in relation to the firm’s regulations, policies and procedures.
- Assisting the Director of Compliance and/or the Chief Compliance Officer EMEA with regulator, exchange and audit requests, including the retrieval of data and drafting of responses.
- Assisting with the preparation of Management Information.
- Taking ownership of particular monitoring tasks and processes within the Compliance department, ensuring that tasks are undertaken in a professional manner, to high standards and delivered within the agreed timeframes.
- Assisting with the development and enhancement of the Trade Surveillance Program & Market Abuse Risk Assessment including making necessary updates to documentation
- Producing Standard Operating Procedures for Surveillance and Monitoring Tasks.
- Understanding procedures and processes applicable to own role.
- Other duties as assigned by Director of Compliance and/or the Chief Compliance Officer EMEA.

**Experience & Skills Required**:

- At least 8 years’ minimum trading experience preferably in the cash equities / cash bond asset class.
- Good knowledge of futures and options.
- Strong attention to detail and organizational and analytical skills are essential.
- Ethical and understands the importance of complying with the rules.
- Ability to develop relationships internally and with customers of the company.
- Ability to understand operations functions, as well as front office activities.
- Proactive, with the ability to pick up an issue, run with it and provide timely feedback.
- Must be able to work on a number of different tasks at the same time.
- General and good understanding of Microsoft Windows desktop operating system and PC skills.

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