Trade Surveillance Officer

NatWest Group; City Of London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A major financial institution in London is seeking a Trade Surveillance Officer. In this role, you will monitor trading activities and ensure compliance with market conduct regulations. Key responsibilities include analysing order and trade activity for potential market abuse and enhancing surveillance systems. The ideal candidate should have a strong background in financial services, particularly investment banking, and possess excellent analytical skills. This role offers a dynamic environment where you can develop your skills further.

Qualifications

• Experience in financial services businesses including investment banking.
• Ability to source and assess multiple data points.
• Involvement in project implementation.

Responsibilities

• Undertake surveillance checks and fact-finding reviews.
• Pro-actively identify potential or actual risks.
• Analyse activity for potential red flags.
• Support the development of an annual surveillance program.

Skills

Logical and analytical skills

Attention to detail

Familiarity with fixed income products

Knowledge of electronic trading concepts

Ability to make risk-based decisions

Job description

Join us as a Trade Surveillance Officer

• You’ll play a vital role in undertaking surveillance checks and fact‑finding reviews to monitor trading activities and ultimately ensure compliance with market conduct policies and regulation
• We’ll look to you to contribute to improving existing surveillance systems as well as assisting in driving new technological solutions
• You’ll have the opportunity to develop your analytical skills, in this collaborative and fast‑paced role

What you’ll do

As a Trade Surveillance Officer, you’ll be analysing order and trade activity to identify potential market abuse and poor conduct using the suite of surveillance tools available.

Your role will also involve:

• Pro‑actively identifying potential or actual emerging risks and driving control enhancements to make sure that surveillance activities operate efficiently and provide appropriate risk mitigation
• Analysing activity for potential red flags and escalating appropriately
• Assisting in providing in‑depth analysis of alerts, including the use of market data, source system data, and alerting data
• Supporting the development and implementation of an annual surveillance programme of work that completes on time
• Keeping up to date with changing regulations and policies

The skills you’ll need

We’re looking for someone with experience of financial services businesses including investment banking. It will be crucial for you to have excellent logical and analytical skills and high levels of attention to detail.

This will be coupled with the ability to source and assess multiple data and information points to help make risk‑based decisions and solutions.

You’ll also need:

• A familiarity with the fixed income and currency products, regulations, electronic trading concepts and risks
• Knowledge of trading process and products
• The ability to apply a technical understanding to data to solve complex problems
• To be adaptable to changing market situations, technology and business needs
• Previous involvement in project implementation and representation on relevant work streams
• Knowledge of how to assist in the development of policies and procedures
• The ability to work with colleagues at all levels, with good listening and influencing skills