Surveillance Officer

Compliance Professionals; Greater London; On-site; GBP 42,000 - 54,000; Full time

Job summary

Compliance Professionals in the United Kingdom is seeking a Surveillance Officer to assist with trade surveillance, monitoring voice and electronic communications related to trading and broking activities.

You will review alerts, identify potential market abuse, calibrate monitoring systems, and produce management information. The role supports regulatory engagements and risk assessments within a dynamic brokerage environment.

Qualifications

• Experience in market surveillance or compliance monitoring function.
• Interest in financial markets, data analysis, and compliance.
• Willingness to develop technical aspects of market surveillance.

Responsibilities

• Review and actioning daily market surveillance alerts and electronic communications.
• Identify suspicious behaviour indicative of market abuse, insider trading, financial crime or improper conduct.
• Calibrate and tailor monitoring systems to reduce false positives.
• Produce timely, accurate MI on surveillance activity.
• Assist with regulatory engagements related to market abuse framework and monitoring.

Skills

Market surveillance

Financial compliance

Data analysis

Report writing

Team player

Job description

THE COMPANY:

Our client is a successful brokerage firm based in the City. They are looking to hire a Surveillance Officer to assist with performing trade surveillance, monitoring of voice and electronic communications relating to the organisation's trading and broking activities.

THE RESPONSIBILITIES:

• Review and actioning (escalation or closure) of daily market surveillance alerts and electronic communications
• identify suspicious behaviour that could be indicative of market abuse, insider trading, financial crime or inappropriate market conduct.
• Calibration and tailoring of monitoring systems, including testing to reduce false positives
• Producing timely, accurate and reliable MI on surveillance activity
• Assisting with enquiries, regulatory engagements or other enquiries relating to the firm's market abuse framework and monitoring framework;
• Assisting with the annual market abuse risk assessment (MARA) and Compliance Risk Assessment
• Reviewing policies and procedures relating to market abuse and electronic communications and Compliance monitoring.
• Preparing training material for staff relating to market abuse, market conduct and financial crime.
• Assisting with technical enhancements relating to compliance monitoring software
• Implementing system changes arising from changes to applicable regulations
• Escalating and investigating exceptions and incidents
• Prepare material relating to STOR or SAR notifications
• Assisting with wider Compliance and AML activities

EXPERIENCE REQUIRED:

• Experience of having worked in market surveillance or compliance monitoring function.
• An interest in financial markets, data analysis, and compliance.
• Willingness to develop and enhance their knowledge of the technical aspects of market surveillance.
• Team player, ability to work flexibly and tenacity.
• Strong report writing and documentation skills.

For further information please contact Natalie Eshelby