Location: (Location / Hybrid / Remote)
Salary: Competitive + Benefits
Contract Type: Full-Time, Permanent
About the Role
Our client is seeking an experienced Surveillance Analyst to join a growing Market Surveillance team. The successful candidate will play a key role in monitoring trading activity, identifying potential market abuse, and ensuring compliance with applicable regulatory requirements.
This position requires hands-on experience with SMARTS Surveillance and a strong understanding of market conduct, trading behaviours, and regulatory expectations within financial markets.
Key Responsibilities
- Conduct daily market surveillance activities using SMARTS and other monitoring tools.
- Investigate alerts relating to potential market abuse, including:
- Insider dealing
- Market manipulation
- Spoofing and layering
- Wash trades
- Front running
- Analyse trading data and identify unusual patterns or suspicious activity.
- Escalate and document surveillance findings in accordance with internal procedures.
- Produce clear and concise investigation reports for management and regulatory review.
- Support regulatory enquiries, audits, and compliance monitoring activities.
- Assist in the calibration, testing, and enhancement of surveillance scenarios and alerts.
- Collaborate with Compliance, Risk, Trading, and Operations teams to strengthen the firm's surveillance framework.
- Contribute to ongoing improvements in surveillance processes, controls, and technology.
Required Experience & Skills
- Proven experience in a Market Surveillance, Compliance Monitoring, Trade Surveillance, or Financial Crime role.
- Demonstrable experience using SMARTS Surveillance .
- Strong understanding of market abuse regulations and surveillance methodologies.
- Knowledge of relevant regulatory frameworks, such as:
- MAR (Market Abuse Regulation)
- FCA regulations
- MiFID II
- Experience analysing complex datasets and trading activity.
- Strong investigative, analytical, and problem-solving skills.
- Excellent report writing and communication abilities.
- Proficiency with Microsoft Office applications, particularly Excel.
Desirable Qualifications
- Degree in Finance, Economics, Business, Mathematics, Law, or a related discipline.
- Experience within an exchange, broker, investment bank, asset manager, or trading venue.
- Knowledge of equities, fixed income and derivatives products
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