• 2.1.7 Market monitoring


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    Description of role

    Responsible for monitoring and identifying relevant risks in the market, ensuring that the firm and its clients are compliant with all laws and regulations, and monitoring client margin limits.     

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    Core skills

    • Knowledge of concepts around conflicts of interest
    • Ability to perform periodic review of client accounts, including client due diligence (AML / KYC), identification of suspicious transaction patterns, updating of client records for changes in client circumstances, and evaluating on-going suitability of clients
    • Knowledge of risks relevant to trade execution, research, custody etc.
        
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    Qualification and/ or certification

    • QFSQF Level 2
    • Relevant experience
        

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    Industry knowledge

    • Knowledge of capital markets products and clients

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    Regulatory compliance of role

    • Knowledge of applicable laws, regulations, rules and codes of conduct