Compliance and Surveillance Analyst

THE COMPANY:

Our client is a well-regarded trading and market making firm . They are looking for a Compliance and Surveillance Analyst to join the London-based team.

THE RESPONSIBILITIES:

• Oversee the effectiveness of the firm’s trade surveillance arrangements




• Act as the primary Compliance contact for surveillance-related issues




• Perform monthly, risk-based QA of surveillance alerts, identifying weaknesses, control gaps and opportunities for improvement.




• Investigate escalated surveillance matters through to a conclusion and make a reasoned STOR or no-STOR recommendation




• Lead the annual Market Abuse Risk Assessment (MARA) review from a surveillance perspective, keeping the firm’s arrangements aligned with its trading activities, products, markets and relevant market-abuse risks.




• Lead the annual review of surveillance alert parameters




• Ensure new markets, instruments and trading venues are appropriately considered and incorporated into the surveillance framework as the firm’s trading activity develops.




• Maintain and improve trade surveillance policies, procedures and supporting documentation.




• Lead the implementation, migration or material enhancement of trade surveillance systems




• Manage the Compliance inbox




• Provide practical compliance support to the business, including day-to-day questions from traders and other employees through established channels.




• Own the day-to-day operation of personal account dealing and related controls




• Manage KYC-related compliance requests and ensure they are completed accurately, consistently and on time.




• Execute the Compliance Monitoring Programme (CMP):




• Coordinate and deliver compliance inductions for new joiners, keeping content current and delivering sessions where appropriate.




• Support the annual compliance training programme, including updating content, coordinating completion and following up outstanding training.




• Manage the operational aspects of the annual SM&CR attestation process.




• Handle routine regulatory enquiries, questionnaires and errors & omissions notifications across the firm’s regulators and jurisdictions internationally, escalating substantive or significant matters appropriately.




• Maintain accurate records and evidence of compliance activities so that processes are sufficiently documented to support oversight and auditability.

EXPERIENCE REQUIRED:

• Relevant compliance experience within a trading firm, market maker, investment firm or another regulated financial services environment.




• Practical trade surveillance experience, including reviewing or overseeing surveillance arrangements, and a good understanding of market-abuse risks and surveillance methodologies.




• Hands-on experience of surveillance processes — alert review, quality assurance, alert scenarios or parameters, surveillance procedures and escalation handling.




• A good working knowledge of the UK market abuse regime, including UK MAR and the FCA’s expectations on market conduct and surveillance.




• The ability to operate independently within a compliance function and exercise sound judgment on compliance issues, across multiple jurisdictions.




• A track record of managing recurring compliance processes and completing work accurately, consistently and on time.

For further information please contact Natalie Eshelby