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Trade Surveillance Officer

An opportunity has arisen to work with an international trading firm operating on London’s global markets. They are seeking compliance professionals with a background in compliance/monitoring who are familiar with forms of market abuse. This opportunity will provide exposure to the broader compliance requirements within a trading business as there will be communication with the front desks, operations and other members of the Compliance Department to help ensure that the firm meets its legal/regulatory obligations.

Key Responsibilities: 

  • Reviewing and analysing surveillance alerts and/or reports relating to firm and client trading activity.
  • Properly documenting the review and resolution of the exceptions, as well as escalating matters appropriately.
  • Communicating surveillance findings to management in a clear and concise manner.
  • Assisting with trade surveillance alert calibration assessments.
  • Assisting in the Firm’s response to enquiries received from exchanges and regulators.
  • Preparing relevant MI for senior management.
  • Conducting monitoring reviews from the Compliance Monitoring Plan.
  • Delivering training to front office on market conduct.
  • Updating compliance policies and procedures.
  • Assisting with system access requests for exchange trading platforms.
  • Gathering information and preparing documentation for regulatory STOR submissions.

Valuable Experience:

  • Experience of working within an investment bank or brokerage, either in a front office compliance, risk, or operations position.
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