At a Glance
- Tasks: Design and oversee global trade surveillance systems to ensure compliance.
- Company: Join a leading global investment management firm with a strong compliance focus.
- Benefits: Competitive salary, professional development, and access to industry-leading technology.
- Other info: Collaborative culture with opportunities for mentorship and career growth.
- Why this job: Make a real impact in compliance while working closely with senior leadership.
- Qualifications: 3-5 years in trade surveillance or market abuse compliance; strong analytical skills required.
The predicted salary is between 60000 - 80000 £ per year.
We are seeking an experienced Compliance Surveillance Specialist to join our growing Compliance function. In this role you will take primary responsibility of assisting with the design, calibration, and ongoing oversight of the firm’s global trade surveillance program. Reporting directly to the EMEA Deputy CCO, you will work closely with compliance technology, investment staff, and the global Compliance team to ensure that the firm’s surveillance infrastructure remains robust and proportionate to the nature, scale, and complexity of the business.
Key Responsibilities
- System Design & Calibration: Work with the EMEA Deputy CCO in the design, implementation, and ongoing calibration of the firm’s trade surveillance systems, including Nasdaq Trade Surveillance (NTS), ensuring scenarios and thresholds are appropriately configured to reflect the firm’s strategies, regulatory obligations and risks. Conduct regular reviews and testing of surveillance system parameters to minimize false positives and enhance detection capabilities. Develop a deep understanding of the trading patterns of various Business Units, working closely with different departments to ensure compliance. Partner with the technology and data teams to resolve any technical issues or challenges that hinder the identification of potential compliance issues. Contribute to documentation of surveillance methodology, including the rationale for scenario selection and calibration decisions. Assist with reviewing and updating the firm’s Market Abuse Risk Assessment (MARA) on a regular basis, and in line with changes in the firm’s trading strategies, controls and risks.
- Alert Review & Investigation: Conduct first‑line review and triage of surveillance alerts generated by NTS and other systems, applying sound judgement to assess the significance of flagged activity. Investigate potential compliance breaches or suspicious activities, gathering and analyzing trade data, e‑communication records, and contextual information to assess whether the activity warrants further escalation to senior compliance management. Prepare clear and well‑evidenced investigation reports and maintain comprehensive records of alert dispositions in accordance with the firm’s documentation standards and regulatory expectations. Work closely with global Compliance officers to discuss and address compliance issues and ensure consistent adherence to regulatory standards across offices. Prepare periodic trend analysis, updates and other management information on surveillance activities, findings, and any identified compliance risks. Help ensure that the firm’s business activities align with internal policies, including prevention and detection of insider trading and market abuse, and protection of proprietary information. Assist with regulatory enquiries, examinations, broker enquiries, or internal audits relating to trade surveillance.
Qualifications & Experience
- 3–5 years of experience in trade surveillance, market abuse compliance, or a closely related role within an investment firm, broker‑dealer, or regulatory body.
- Demonstrable hands‑on experience with institutional trade surveillance platforms; direct experience with Nasdaq Trade Surveillance (NTS) is strongly preferred.
- Strong understanding of market abuse regulations, including the EU and UK Market Abuse Regulation (MAR), and the FCA’s expectations relating to market abuse controls.
- Proficient analytical, written, and verbal communication skills.
- Keen attention to detail and a robust work ethic.
- The ability to work independently and as part of a team.
Why Join Us
- Impactful Role: Take ownership of a critical compliance function with direct visibility to senior leadership, including the EMEA Deputy CCO.
- Sophisticated Environment: Work with industry‑leading surveillance technology across a diverse range of strategies and asset classes in a global multi‑strategy hedge fund.
- Professional Development: Build your career in a firm that holds compliance to the highest standards, with access to ongoing training, mentorship, and industry engagement opportunities.
- Collaborative Culture: Join a team that combines rigorous standards with a collegial and intellectually engaging working environment.
We are a global investment management firm.
Compliance Surveillance Specialist employer: Jain Global (UK) Partners LLP
Join our global investment management firm as a Compliance Surveillance Specialist, where you will play a pivotal role in shaping our trade surveillance program. We pride ourselves on fostering a collaborative culture that values professional development, offering ongoing training and mentorship to help you excel in your career. With access to cutting-edge technology and a commitment to the highest compliance standards, this is an exceptional opportunity to make a meaningful impact within a sophisticated environment.
Contact Details:
Jain Global (UK) Partners LLP Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Surveillance Specialist
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Jain Global (UK) Partners LLP looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Surveillance Specialist
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Jain Global (UK) Partners LLP. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Jain Global (UK) Partners LLP
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Jain Global (UK) Partners LLP’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
