Trade Surveillance Officer

2 months ago

London, United Kingdom FincSelect Full time

We're very excited to be working with a commodities giant on an opportunity within their trade surveillance team.


With unparalleled buy-in from senior leadership and some punchy plans for the future of the team, this is a surveillance role that really stands out from the rest in the market.


The are an infinite amount of projects for you to sink your teeth into at this firm but here are the day responsibilities:


  • Design, implement and calibrate new surveillances as well as the refinement of existing ones. Interacting with IT and Systems teams on the specific design and testing of new surveillances.
  • Reviewing and analysing surveillance alerts and/or reports relating to firm, employee and client trading activity. Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately.
  • Gathering and analysing trade data to assist in the Firm’s response to inquiries received from governmental and exchange regulatory bodies.
  • Responding to inquiries or requests from internal partners Carrying out e-communications surveillance and formulating appropriate policies.
  • Preparing relevant MI and reports to internal stakeholders.
  • Additional duties as assigned, including to support any advisory and implementation work on new/changed regulations.


The ideal candidate:


  • Solid trade and ecomms surveillance experience
  • Current or recent investment banking experience (desirable)
  • Exposure to commodities products (desirable, not essential)
  • Knows that a good target operating model looks like
  • QA experience

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