European Surveillance Officer

DRW is a diversified trading firm with over 3 decades of experience bringing sophisticated technology and exceptional people together to operate in markets around the world. We value autonomy and the ability to quickly pivot to capture opportunities, so we operate using our own capital and trading at our own risk.

Headquartered in Chicago with offices throughout the U.S., Canada, Europe, and Asia, we trade a variety of asset classes including Fixed Income, ETFs, Equities, FX, Commodities and Energy across all major global markets. We have also leveraged our expertise and technology to expand into three non-traditional strategies: real estate, venture capital and cryptoassets.

We operate with respect, curiosity and open minds. The people who thrive here share our belief that it’s not just what we do that matters–it's how we do it. DRW is a place of high expectations, integrity, innovation and a willingness to challenge consensus.

The European Compliance team are looking for a European Surveillance Officer to be based in our Amsterdam office, reporting into the EU Compliance Officer. 

Role responsibilities:

• Responsible for Surveillance of trading in Europe (including UK) across a wide range of asset classes.
• Market abuse surveillance on market data (on exchange and OTC), e-communications and voice records. Timely reviews of automated alerts.
• Configuration of existing alerts for new activity or to improve on existing studies.
• Designing new studies, internal or with third party providers.
• Drafting business requirements and undertaking user acceptance testing. 
• Investigation and escalation of suspected breaches, supporting the submission of STORs.
• Managing market abuse related queries from Exchanges, DEA providers and Regulators.
• Managing the annual market abuse risk assessment and follow up actions.
• Responsible for Market Abuse Regulation training.
• Responsible for the Personal Account trading framework, including supporting employees in adhering to the policy, reviewing alerts and managing the annual attestation process.
• Supporting new business opportunities by ensuring Surveillance requirements are identified and delivered when adding new markets, asset classes or traders.
• Contributing to day-to-day Compliance support for the business including trader registrations with Exchanges, reviewing trade data of new activity, advising on Market Abuse regulations, and reviewing new trading systems.
• Contributing to the annual review of EU/UK automated trading.
• Providing regular Management Information on Surveillance to the relevant Boards of Directors.
• Monitoring for changes in EU or UK market abuse regulations and escalating potential impacts.
• Contributing to ad-hoc projects.

Required skills and experience:

• Minimum 5 years’ experience working in Financial Services, and minimum of 3 years’ experience in Market Abuse surveillance.
• Experience of designing and testing new studies.
• Understanding of the EU and UK Market Abuse Regulation.
• Minimum of a Bachelor's degree.
• Excellent English written and verbal communication.

Bonus experience:

• Knowledge of programming languages.
• Experience of using automation to improve processes including AI.
• Knowledge and experience of prop-trading firms.

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