Surveillance Associate

Compliance Professionals; Greater London; On-site; GBP 65,000 - 90,000; Full time

Job summary

Compliance Professionals is seeking a highly precise Compliance Monitoring officer in London to review surveillance alerts and e-communications, ensuring accurate documentation and escalation where needed. You will support regulatory inquiries and contribute to monitoring plans with strong attention to detail.

The role requires clear communication, meticulous analysis of alerts, and delivery of MI to senior management.

Qualifications

• Experience reviewing and processing surveillance alerts.
• Excellent written and verbal communication skills.
• Experience reviewing surveillance and e-communications.

Responsibilities

• Reviewing and analysing surveillance alerts and/or reports relating to firm and client order/trading activity.
• Reviewing and analysing e-communication surveillance alerts and/or reports.
• Reviewing telephone communications.
• Documenting review and resolution of exceptions and escalating matters appropriately.
• Communicating surveillance findings to management clearly.
• Assisting with trade surveillance alert calibration assessments.
• Carrying out manual monitoring tasks.
• Assisting in the Firm’s response to enquiries from exchanges and regulators.
• Reviewing trading error reports.
• Monitoring staff’s Personal Account Dealing activity.
• Preparing 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.

Skills

Attention to detail

Strong communication

Surveillance alerts experience

Job description

THE COMPANY:

Our client is a leading world-wide broker; they are based in the City with a vast Global presence. This role will report to the Deputy Head of Compliance.

THE RESPONSIBILITIES:

• Reviewing and analysing surveillance alerts and/or reports relating to firm and client order and/or trading activity
• Reviewing and analysing e-communication surveillance alerts and/or reports
• Reviewing telephone communications
• 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
• Carrying out manual monitoring tasks
• Assisting in the Firm’s response to enquiries received from exchanges and regulators
• Reviewing trading error reports
• Monitoring staff’s Personal Account Dealing activity
• 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

EXPERIENCE REQUIRED:

• The ability to work extremely accurately, thoroughly, reliably and with attention to detail
• Strong communication skills
• Experience reviewing and processing surveillance alerts utilising surveillance