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For Companies At a Glance
- Tasks: Monitor trading activities and assess compliance to prevent market misconduct.
- Company: Alba Partners is a dynamic consulting firm focused on transformation and technology solutions.
- Benefits: Work with cutting-edge technology and gain exposure to top financial institutions.
- Why this job: Join a fast-growing team and make a real impact in financial compliance.
- Qualifications: Experience in trade surveillance and knowledge of financial regulations required.
- Other info: Opportunity to work with AI-driven surveillance tools and industry experts.
The predicted salary is between 43200 - 72000 £ per year.
Alba Partners is a boutique management consulting firm founded in 2020 by Scottish siblings Richard and Carol Jacobs. Headquartered in Edinburgh, with additional offices in London, Aberdeen, and across the Middle East, the firm specialises in guiding organisations through complex change and transformation initiatives. Their services encompass programme delivery, business transformation, and technology solutions, including digital transformation, AI, and automation. In 2025, the firm expanded its data and digital advisory capabilities by acquiring Core Consultants Group, enhancing its expertise in data analytics and AI.
We seek experienced Trade Surveillance Specialists with a strong background in Surveillance Alert Reviews and expertise in either FICC or FX markets. This role involves monitoring trading and communications activity to identify potential market misconduct, ensuring compliance with regulations, and assessing risks related to workplace behaviour, client interactions, procedural compliance, price construction, and other conduct-related factors.
Role Overview
As a Trade Surveillance Consultant, you will be responsible for reviewing trade alerts, assessing the effectiveness of surveillance models, and ensuring that systems are optimally configured to detect market abuse, insider trading, and regulatory breaches. You will work closely with Front Office teams, compliance stakeholders, and clients, providing expert guidance on all aspects of trade surveillance and financial crime compliance.
Key Responsibilities
- Model Audit and Calibration
- Analyse trade alerts across multiple asset classes, including Fixed Income, FX, Futures, Options, and Interest Rate Swaps.
- Assess the accuracy and efficiency of existing surveillance models and recommend enhancements or recalibrations where necessary.
- Ensure surveillance systems are correctly configured and aligned with the latest UK and EU regulatory requirements (e.g., MiFID II, MAR, SMCR).
- Provide expert advice and support to clients, compliance teams, and senior management.
- Work with technology teams to refine and enhance trade surveillance tools and platforms.
- Conduct detailed investigations into potential market misconduct, preparing reports for internal stakeholders and regulatory authorities.
- Stay informed of regulatory developments and market trends to uphold the highest standards of trade surveillance.
Qualifications & Experience
- Proven experience in a trade surveillance or compliance role within a financial institution.
- In-depth knowledge of multiple asset classes, including Fixed Income, FX, Futures, Options, and Interest Rate Swaps.
- Strong analytical and investigative skills, with the ability to interpret complex data and market activity.
- Experience using trade surveillance systems, such as Actimize, SMARTS, or similar platforms.
- Excellent communication skills, with the ability to engage with stakeholders at all levels.
- Familiarity with UK and EU financial regulations, including MiFID II, MAR, SMCR, and FCA conduct rules.
- Relevant professional qualifications (e.g., CISI Investment Compliance Certificate, FCA Certifications) are desirable.
Your Role Will Also Involve:
- Proactively reviewing highly complex alerts to identify suspicious behaviour.
- Providing in-depth analysis of alerts using market data, source system data, and trading patterns.
- Understanding equities and fixed income market regulations, electronic trading concepts, and associated risks.
- Applying technical expertise to data and trade activity in order to solve complex problems.
Why Join Us?
- Work with leading experts in AI-driven surveillance and compliance.
- Gain exposure to cutting-edge trade surveillance technology and industry best practices.
- Engage directly with top-tier financial institutions and trading firms.
- Be part of a fast-growing team delivering high-impact consulting solutions.
If you have the expertise and ambition to enhance trade surveillance practices and combat financial misconduct, we encourage you to apply.
Trade Surveillance Consultant employer: Alba Partners
Contact Detail:
Alba Partners Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Trade Surveillance Consultant
✨Tip Number 1
Familiarise yourself with the latest UK and EU regulations, especially MiFID II and MAR. Understanding these regulations will not only help you in interviews but also demonstrate your commitment to compliance and regulatory standards.
✨Tip Number 2
Network with professionals in the trade surveillance field. Attend industry events or webinars where you can meet experts and learn about the latest trends and challenges in trade surveillance, which could give you an edge during discussions with potential employers.
✨Tip Number 3
Gain hands-on experience with trade surveillance systems like Actimize or SMARTS. If you can showcase your practical knowledge of these tools, it will significantly enhance your profile and show that you're ready to hit the ground running.
✨Tip Number 4
Prepare to discuss real-world scenarios involving market misconduct during your interviews. Being able to analyse and articulate how you would handle specific situations will demonstrate your analytical skills and understanding of the role's responsibilities.
We think you need these skills to ace Trade Surveillance Consultant
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in trade surveillance and compliance roles. Emphasise your knowledge of asset classes like Fixed Income and FX, as well as any relevant systems you've used, such as Actimize or SMARTS.
Craft a Strong Cover Letter: Write a cover letter that specifically addresses the key responsibilities outlined in the job description. Mention your analytical skills and experience with regulatory requirements like MiFID II and MAR to demonstrate your fit for the role.
Showcase Relevant Qualifications: If you have professional qualifications such as the CISI Investment Compliance Certificate, be sure to mention these in your application. Highlighting your credentials can set you apart from other candidates.
Prepare for Technical Questions: Anticipate technical questions related to trade surveillance and market regulations during the interview process. Brush up on your knowledge of market misconduct, insider trading, and the latest regulatory developments to impress your interviewers.
How to prepare for a job interview at Alba Partners
✨Know Your Regulations
Familiarise yourself with UK and EU financial regulations such as MiFID II, MAR, and SMCR. Being able to discuss these regulations confidently will demonstrate your expertise and understanding of the compliance landscape.
✨Showcase Your Analytical Skills
Prepare to discuss specific examples where you've successfully analysed trade alerts or conducted investigations into market misconduct. Highlight your ability to interpret complex data and how it led to actionable insights.
✨Understand the Technology
Be ready to talk about your experience with trade surveillance systems like Actimize or SMARTS. Understanding how these tools work and their role in detecting market abuse will set you apart from other candidates.
✨Engage with Stakeholders
Demonstrate your communication skills by discussing how you've engaged with various stakeholders in previous roles. Share examples of how you provided expert guidance to compliance teams or senior management, showcasing your collaborative approach.
