Compliance & Surveillance Analyst

At Mako, we believe in the power of collaboration to drive innovation in pursuit of our collective ambition; excellence in trading.

Our diverse community is connected through a commitment to being the best we can be with the highest standards of integrity.

The Compliance & Surveillance Analyst is a key member of the firm's Compliance function, joining a high-performing team with significant individual responsibility.

The role combines specialist responsibility for trade surveillance with broader compliance responsibilities across the Mako Group.

The Analyst will act as the firm's primary trade surveillance specialist within Compliance, overseeing the surveillance framework, reviewing and enhancing its methodology and procedures, performing quality assurance, investigating escalations and ensuring the firm's trading activity remains appropriately monitored as the business develops.

Alongside surveillance, the role will take ownership of a broad range of compliance responsibilities across the Group, providing practical support to the business and ensuring key compliance processes are effective and well controlled.

This is a hands-on role requiring sound judgment, independence and a continuous-improvement mindset.

The successful candidate will be expected to understand the processes they own, challenge how they operate and identify opportunities to strengthen, streamline or automate them.

An interest in AI and new technology, together with a willingness to learn and apply new tools, is important.

What you'll be involved in

• Trade Surveillance
• Act as the primary point of expertise within Compliance for the firm's trade surveillance framework, including:
• Oversee the effectiveness of the firm's trade surveillance arrangements, working closely with Middle Office to ensure alerts are generated, reviewed and closed appropriately and that issues are identified and addressed promptly.
• Act as the primary Compliance contact for surveillance-related issues, including unexpected alert volumes, missing or incomplete alerts, data or system 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 to the Head of Compliance.
• 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, assessing scenarios and thresholds and recommending changes where appropriate.
• 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 where required, including requirements gathering, configuration, testing, data validation, parallel running and go-live.
• General Compliance Responsibilities
• Take ownership of a range of recurring and ad hoc compliance responsibilities across the Mako Group, including:
• Manage the Compliance inbox: respond to internal and external routine queries and requests, identify underlying issues, and elevate matters requiring more senior judgement.
• 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, applying judgment to requests and identifying and escalating unusual or higher-risk activity.
• Manage KYC-related compliance requests and ensure they are completed accurately and in line with the firm's requirements.
• Execute the Compliance Monitoring Programme (CMP): complete monthly and periodic tests accurately and on time and identify opportunities to improve test scope or methodology.
• 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.
• Oversee the completion of routine daily and periodic compliance reporting and submissions, ensuring required processes are completed accurately and on time.
• 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.
• Process Impr
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