Senior Trade Surveillance & Compliance Officer

Compliance Professionals; Greater London; On-site; GBP 65,000 - 110,000; Full time

Job summary

Compliance Professionals is partnering with an innovative commodities firm to strengthen its trade surveillance program in London. The role focuses on reviewing alerts, advising traders, and ensuring regulatory compliance.

You will investigate market abuse, respond to regulatory enquiries, and deliver training to trading staff while maintaining clear records and procedures for handover and continuous improvement.

Responsibilities

• Review trade surveillance alerts daily and close with documented reasons or escalate.
• Answer exchange enquiries and advise traders directly.
• Provide traders clear, practical advice during trading hours on actions, restrictions, and escalation needs.
• Investigate potential market abuse and maintain evidence with reasons.
• Respond to exchange and regulatory enquiries, rebuilding trading activity from records and preparing explanations ahead of deadlines.
• Keep track of monitoring reviews, enquiries, regulatory requests and reporting obligations with owners and deadlines.
• Review trading-related policies and procedures against actual trading and update where needed.
• Tune surveillance alert settings to fit desk trading, reduce low-value alerts and close gaps.
• Deliver market conduct training to new joiners and graduates, and an annual refresher for all trading staff.
• Keep logs and written procedures so a colleague can step in smoothly when you are away.
• Produce an annual review of surveillance results, enquiries, advice themes and policy changes, with a prioritised plan for improvement.

Job description

Compliance Professionals is partnering with an innovative commodities firm to strengthen its trade surveillance program in London. The role focuses on reviewing alerts, advising traders, and ensuring regulatory compliance.

You will investigate market abuse, respond to regulatory enquiries, and deliver training to trading staff while maintaining clear records and procedures for handover and continuous improvement.