Trade Surveillance Contractor

A global investment bank is currently recruiting for a Trade Surveillance Contractor to join the team for a 6 month interim contract.

They are based in Liverpool street and offer hybrid working with 3 days office attendance per week.

The main focus of this role will be doing alert reviews and monitoring. The rate will be £430 per day umbrella. (inside IR35)

Their Compliance Surveillance Team is at the forefront of ensuring compliance with market standards. They design, implement, monitor, and test surveillance models across multiple business lines, including Global Markets Division, Global Investment Banking, and Treasury. They are dedicated to identifying and mitigating risks related to Market Abuse, Conduct Risk, and Operational risk, ensuring our organisation operates with the utmost integrity.

The Role

As a Trade Surveillance specialist, you will play a key role in:

• Monitoring trades, orders, RFQs, and market data daily.
• Escalating suspicious transactions and potential breaches.
• Conducting detailed investigations and compiling high-quality management reports.
• Performing gap analyses that inform the annual BC Monitoring and Surveillance Control Plan.
• Driving improvements in surveillance controls to address conduct and market abuse risks.
• Maintaining confidentiality and handling privileged information with discretion.

The ideal candidate

• Experience: Proven track record in compliance reporting, alert classification, and escalations, with a focus on delivering detailed investigations and evidence-based reports.
• Knowledge: Familiarity with regulatory and conduct issues like Market Abuse and Conduct Risk. Knowledge of Surveillance Vendor tools is a plus.
• Skills: Strong communication skills, both written and verbal, and an ability to liaise effectively with senior managers, front office teams, and IT stakeholders.
• Drive: A motivated self-starter who thrives both autonomously and as part of a collaborative team.
• Attention to Detail: Proactive in identifying risks and gaps in compliance activities and addressing them efficiently.

Key Responsibilities

• Enhance and implement surveillance and monitoring strategies
• Escalate potential issues of market abuse or other integrity breaches and track outcomes.
• Provide input on calibration and improvement of alert thresholds and logics.
• Compile incident reports and present findings to senior management.
• Stay updated on regulatory changes and analyse their implications on surveillance activities.

If you have suitable skills and experience for this role, APPLY NOW and we’ll be in touch.