Rosie Phillips

Associate

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DEGREE BACKGROUND

 

Queen’s University, Belfast

BSc Accounting

FINTRU EXPERIENCE

Trade Surveillance Analyst for Global Investment Bank

 

  • Perform daily surveillance of Equities, Fixed Income and Wealth Management trading,

    monitoring for adherence with relevant regulatory and exchange requirements.

  • Monitor and investigate trader communication systems, identifying and preventing any activities

     outside of regulatory and company standards.

  • Formation of monthly dashboards within the Wealth Management division for presentation to the Conduct Risk committee.

  • Collaborate with colleagues across EMEA and in Global Surveillance teams.

 

SKILLS AND QUALIFICATIONS ATTAINED THROUGH FINTRU

CISI IOC Unit 1 - Introduction to Securities and Investment

CISI IOC Unit 2 - UK Financial Regulation

CISI IOC Unit 3 - Risk in Financial Services

Bloomberg Essentials Core Exam

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Belfast Headquarters: FinTrU House, 1 Cromac Avenue, Belfast, BT7 2JA

Belfast Office: FinTrU, 1A Pakenham Street, Belfast, BT7 1AB

North West Headquarters: FinTrU, Carlisle House, 3 Horace Street, Derry/Londonderry, BT48 6JS

 

North West Office: FinTrU, City Factory, 100 Patrick Street, Derry/Londonderry, BT48 7EL

London Office: FinTrU, Warnford Court, 29 Throgmorton Street, London, EC2N 2AT 

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