Surveillance Officer

4 days ago


London, United Kingdom Danos Group Full time
Job Description

Our client, a leading Commodity Trading firm are seeking to appoint a Surveillance Officer to join the team in London. The Surveillance officer will be responsible for ensuring compliance with regulations related to market abuse and insider trading. This role requires a deep understanding of financial markets, regulatory requirements, and the ability to effectively manage risk. This is an exceptional opportunity to have a broad and varied remit covering all day to day compliance activities and taking ownership for Surveillance and lead compliance IT projects, specifically for the ongoing improvement of the firms monitoring and surveillance systems.

The Surveillance Officer will work closely with the Senior Compliance Specialist to deliver the firms compliance program, including but not limited to the areas of:

  • Communications monitoring, including ongoing maintenance of systems, providing advice, guidance, and escalations, as necessary.
  • Trade surveillance, including ongoing maintenance of systems, investigations and escalations as required.
  • Providing ad-hoc advice to the business.
  • Keeping up with the regulatory landscape, and the impact of changes as well as providing updates to the business and the executive committee as appropriate.
  • Lead compliance IT projects, specifically for the ongoing improvement of the firms monitoring and surveillance systems.
  • Develop and implement policies and procedures to prevent market abuse and insider trading.
  • Monitor trading activities for suspicious behaviour and potential violations of regulations.

The successful candidate must have commodities experience and a minimum of 3 years of experience in compliance within a financial services firm or brokerage. In-depth knowledge of regulations related to trade surveillance and insider trading (e.g., MAR, Dodd-Frank Act, SEC regulations). Strong analytical skills and attention to detail as well as having excellent business facing skills.


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