Compliance and Surveillance Analyst

Compliance Professionals; Greater London; In loco; GBP 45.000 - 65.000; Tempo pieno

Descrizione del lavoro

Compliance Professionals in London seeks a Compliance and Surveillance Analyst to join our trading team. You will oversee trade surveillance, act as the primary compliance contact for surveillance matters, and perform monthly QA of alerts to identify weaknesses and improvement opportunities.

You will lead MARA reviews, review alert parameters, and ensure new markets and venues are integrated into surveillance. You will handle KYC requests and maintain documentation for audits.

Competenze

• Hands-on trade surveillance experience and ability to review or oversee surveillance arrangements.
• Good working knowledge of the UK market abuse regime, including UK MAR and FCA expectations.
• Ability to operate independently within a compliance function across multiple jurisdictions.

Mansioni

• Oversee the effectiveness of the firm’s trade surveillance arrangements.
• Act as the primary Compliance contact for surveillance-related issues.
• Perform monthly, risk-based QA of surveillance alerts, identifying weaknesses and improvements.

Conoscenze

Trade surveillance experience

UK MAR knowledge

Surveillance parameters

Descrizione del lavoro

THE COMPANY:

Our client is a well-regarded trading and market making firm . They are looking for a Compliance and Surveillance Analyst to join the London-based team.

THE RESPONSIBILITIES:

• Oversee the effectiveness of the firm’s trade surveillance arrangements


• Act as the primary Compliance contact for surveillance-related issues


• Perform monthly, risk-based QA of surveillance alerts, identifying weaknesses, control gaps and opportunities for improvement.


• Investigate escalated surveillance matters through to a conclusion and make a reasoned STOR or no-STOR recommendation


• Lead the annual Market Abuse Risk Assessment (MARA) review from a surveillance perspective, keeping the firm’s arrangements aligned with its trading activities, products, markets and relevant market-abuse risks.


• Lead the annual review of surveillance alert parameters


• Ensure new markets, instruments and trading venues are appropriately considered and incorporated into the surveillance framework as the firm’s trading activity develops.


• Maintain and improve trade surveillance policies, procedures and supporting documentation.


• Lead the implementation, migration or material enhancement of trade surveillance systems


• Manage the Compliance inbox


• Provide practical compliance support to the business, including day-to-day questions from traders and other employees through established channels.


• Own the day-to-day operation of personal account dealing and related controls


• Manage KYC-related compliance requests and ensure they are completed accurately, consistently and on time.


• Execute the Compliance Monitoring Programme (CMP):


• Coordinate and deliver compliance inductions for new joiners, keeping content current and delivering sessions where appropriate.


• Support the annual compliance training programme, including updating content, coordinating completion and following up outstanding training.


• Manage the operational aspects of the annual SM&CR attestation process.


• Handle routine regulatory enquiries, questionnaires and errors & omissions notifications across the firm’s regulators and jurisdictions internationally, escalating substantive or significant matters appropriately.


• Maintain accurate records and evidence of compliance activities so that processes are sufficiently documented to support oversight and auditability.

EXPERIENCE REQUIRED:

• Relevant compliance experience within a trading firm, market maker, investment firm or another regulated financial services environment.


• Practical trade surveillance experience, including reviewing or overseeing surveillance arrangements, and a good understanding of market-abuse risks and surveillance methodologies.


• Hands-on experience of surveillance processes — alert review, quality assurance, alert scenarios or parameters, surveillance procedures and escalation handling.


• A good working knowledge of the UK market abuse regime, including UK MAR and the FCA’s expectations on market conduct and surveillance.


• The ability to operate independently within a compliance function and exercise sound judgment on compliance issues, across multiple jurisdictions.


• A track record of managing recurring compliance processes and completing work accurately, consistently and on time.

For further information please contact Natalie Eshelby