At a Glance
- Tasks: Join a dynamic team ensuring compliance and integrity in market surveillance.
- Company: Leading financial services firm investing in market surveillance.
- Benefits: Competitive salary, hybrid working model, and exposure to diverse financial products.
- Other info: Opportunities for growth across Associate, AVP, and VP levels.
- Why this job: Make a real impact in compliance while developing your skills in a respected institution.
- Qualifications: Experience in market surveillance and strong analytical skills required.
The predicted salary is between 50000 - 100000 £ per year.
Our client is a leading financial services firm that is making a significant investment in its Market Surveillance function. This is an exciting opportunity to join a growing team that plays a key role in ensuring compliance with market abuse regulations while supporting the firm's commitment to integrity and transparency.
The Role: We are working with our client to recruit experienced Market Surveillance Analysts at Associate, AVP, and VP levels. Reporting to the Head of Market Abuse, this role offers broad exposure across the full surveillance lifecycle. From reviewing initial alerts and escalating issues to conducting detailed investigations and submitting STORs to the FCA, this position provides variety and ownership. The role also involves monitoring a wide range of products, including Equities (listed, Futures & Options), Commodities (listed/non-physical), and other financial instruments. It is well-suited for individuals who enjoy hands-on work and want to be involved in every stage of the process.
Key Responsibilities:
- Reviewing alerts generated by surveillance systems and identifying potential issues
- Escalating concerns for further investigation when necessary
- Conducting detailed investigations into potential market abuse or misconduct
- Preparing and submitting Suspicious Transaction and Order Reports (STORs) to the FCA
- Monitoring trading activity across a broad range of products, including Equities, Commodities, Futures & Options, and other financial instruments
- Collaborating with internal teams to address compliance concerns and improve processes where needed
What We Are Looking For:
- Hands-on experience in market surveillance within financial services
- A solid understanding of market abuse regulations and reporting requirements (e.g., STOR submissions)
- Familiarity with trading products such as Equities, Commodities, Futures & Options
- Strong analytical skills with excellent attention to detail
- Clear communication skills-both written and verbal-and the ability to collaborate effectively with others
Preferred Skills:
- Experience using trade surveillance systems like SMARTS, Actimize, or similar platforms
- Knowledge of FCA regulations related to market abuse
- A proactive approach to problem-solving and improving processes
What's On Offer:
- A competitive salary ranging from £50,000 - £100,000 depending on your experience and seniority level (Associate, AVP & VP roles available)
- The chance to work in a high-performing team within a respected financial institution
- Exposure to a wide range of products and end-to-end involvement in the surveillance lifecycle
- A hybrid working model offering flexibility while maintaining collaboration in a City-based office
Surveillance Roles (Associate, AVP & VP) in London employer: Robert Walters Careers
Join a leading organisation in Walsall that values its employees and fosters a collaborative work culture. As a Group Financial Controller, you will benefit from competitive salary packages, opportunities for professional development, and the chance to make a significant impact on the company's financial strategy. With a commitment to compliance and efficiency, this role offers a rewarding environment where your expertise will be recognised and appreciated.
