Trade & Transaction Oversight & Surveillance Specialist

Lorien; England; Hybrid; GBP 70,000 - 110,000; Full time

Job summary

Lorien is seeking an experienced Trade, Transaction Oversight & Surveillance Analyst for a 6-month UK-based contract with hybrid/flexible working. You will design Line 1 oversight for trade reporting, surveillance, and regulatory compliance, leveraging Power BI, Copilot, and Microsoft tools to automate and improve controls.

You will collaborate across Compliance, Trading, Middle Office, Legal, Risk, and Transformation to embed robust monitoring, governance, and remediation capabilities for EMIR,

Qualifications

• Proven experience within an asset manager, investment firm, asset owner, pensions provider, or institutional investment environment.
• Strong Line 1 oversight experience covering Trade & Transaction Reporting, Best Execution, EMIR, SFTR, and delegated regulatory reporting models.

Responsibilities

• Design and implement sustainable Line 1 oversight frameworks for trade and transaction reporting activities.
• Strengthen oversight of regulatory reporting obligations including EMIR, SFTR, CFTC Form 40 and other reporting requirements.
• Assess reporting quality, identify breaches, and support remediation activities.
• Oversee delegated reporting arrangements and third-party service providers.
• Develop governance structures, breach assessment frameworks, and remediation tracking.
• Design risk-based monitoring and control testing frameworks.
• Review and challenge execution quality metrics and governance reporting.
• Strengthen Control Room and Trade Surveillance across Private and Public Markets.
• Support surveillance monitoring activities and conflicts of interest management.

Skills

Trade surveillance

Transaction reporting

Power BI

Automation techniques

Governance reporting

Line 1 oversight

Regulatory reporting

EMIR

SFTR

Market conduct controls

Best execution

Conflicts of interest management

Data analytics

Microsoft Copilot

Tools

Power BI

Copilot / AI tooling

Job description

Lorien is seeking an experienced Trade, Transaction Oversight & Surveillance Analyst for a 6-month UK-based contract with hybrid/flexible working. You will design Line 1 oversight for trade reporting, surveillance, and regulatory compliance, leveraging Power BI, Copilot, and Microsoft tools to automate and improve controls.

You will collaborate across Compliance, Trading, Middle Office, Legal, Risk, and Transformation to embed robust monitoring, governance, and remediation capabilities for EMIR,