Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Monitor trades daily, investigate alerts, and document findings to combat market abuse.
- Company: Reputable brokerage firm located in the vibrant West End.
- Benefits: Competitive salary, professional growth opportunities, and a dynamic work environment.
- Why this job: Join a crucial role in ensuring market integrity and compliance while building valuable industry relationships.
- Qualifications: Experience in compliance monitoring and strong knowledge of market abuse regulations required.
- Other info: Ideal for motivated individuals looking to make an impact in financial services.
The predicted salary is between 50000 - 70000 £ per year.
THE COMPANY: Our client is an institutional brokerage and securities firm based in the West End.
THE RESPONSIBILITIES:
- Undertake daily trade surveillance activities to address and investigate alerts.
- Identify and investigate potential market abuse and improper activity.
- Identify risks/issues and discrepancies and proactively elevate.
- Accurately document review findings and outcomes and support further investigation of suspicious behaviour.
- Build relationships with the Front Office and investigate internal escalations when necessary.
- Draft STOR ready for submission to the relevant regulators such as FCA as required.
- Promptly investigate and communicate operational issues arising from trade surveillance activities with relevant stakeholders.
- Make recommendations for enhancements to existing processes for identifying market abuse risk.
- Assist in drafting and updating appropriate policies and procedures.
- Conduct reviews in accordance with the Compliance Monitoring Plan.
- Assist in responding to regulatory enquiries.
- Assist with PA Dealing approvals and monitoring of the Restricted and Watch Lists.
EXPERIENCE REQUIRED:
- Extensive compliance monitoring and surveillance experience within a financial services firm (brokerage is preferable).
- Extensive relevant experience in a trading, monitoring or surveillance position at a financial services firm.
- Strong knowledge of market abuse regulation and conduct regulatory requirements.
- Deep knowledge of various products- cash equities, equity derivatives, fixed income, FX options, IRSs.
- Excellent communication skills, both written and verbal, to deal with key stakeholders.
- Very motivated with strong ability to prioritise.
Market Abuse Surveillance Analyst in London employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Market Abuse Surveillance Analyst in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector, especially those who work in compliance or surveillance. A friendly chat can lead to insider info about job openings that aren't even advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on market abuse regulations and recent trends in the industry. We want you to be the go-to person for all things compliance during your interview, so show off that knowledge!
✨Tip Number 3
Don’t just apply and wait! Follow up on your applications with a quick email or LinkedIn message. It shows your enthusiasm and keeps you on their radar. Plus, it’s a great way to ask if they need any more info from you.
✨Tip Number 4
Check out our website for the latest job openings. We’re always updating our listings, and applying directly through us can give you an edge. Let’s get you that Market Abuse Surveillance Analyst role!
We think you need these skills to ace Market Abuse Surveillance Analyst in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Market Abuse Surveillance Analyst role. Highlight your compliance monitoring experience and any relevant skills that match the job description. We want to see how your background fits with what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about market abuse surveillance and how your experience aligns with our needs. Keep it concise but impactful – we love a good story!
Showcase Your Communication Skills: Since excellent communication is key for this role, make sure your written application reflects that. Use clear and professional language, and don’t forget to proofread for any typos or errors. We appreciate attention to detail!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it’s super easy – just follow the prompts!
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Make sure you brush up on market abuse regulations and conduct requirements before the interview. Being able to discuss these topics confidently will show that you understand the industry and are serious about compliance.
✨Showcase Your Surveillance Skills
Prepare examples from your previous experience where you've successfully identified and investigated potential market abuse. Highlight specific cases where your actions led to positive outcomes, as this will demonstrate your practical knowledge and problem-solving abilities.
✨Build Relationships
Since the role involves liaising with the Front Office and other stakeholders, think of ways to express your relationship-building skills. Share instances where you've effectively communicated or collaborated with different teams to resolve issues or enhance processes.
✨Be Ready for Scenario Questions
Expect scenario-based questions that test your analytical thinking and decision-making skills. Practice articulating how you would handle specific trade surveillance situations, including how you'd document findings and escalate issues when necessary.