Queen’s University, Belfast
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