Vp, Surveillance Officer

1 month ago


Glasgow, United Kingdom Meraki Full time

Meraki Talent's industry leading Financial Services client are looking for a VP, Surveillance Officer based in Glasgow

**Responsibilities of the Position**:

- Overseeing or conducting the daily surveillance of equities, derivatives, fixed income and commodities trading to monitor for compliance with regulatory and exchange requirements.
- Liaising with Compliance colleagues, Operations and front office staff to investigate surveillance alerts as necessary.
- Reviewing and analyzing 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.
- Conducting ad hoc trading reviews to support Legal and Compliance colleagues, including detailed incident reviews as necessary, reporting STORs to the UK FCA or other competent authorities as required.
- Responding to inquiries or requests from internal partners (e.g. ICRM Assurance, Internal Audit, Legal)
- Assist in the production of required internal and external operational reports.
- Maintain a robust control framework

**Background of the Position**:

- Equities and Trading Surveillance experience
- Experience using third party trade surveillance tools (e.g. Nasdaq Trade Surveillance, Actimize) and market data vendors (e.g. Bloomberg, Reuters Eikon).
- Use of Tableau/SQL to query large data sets.
Experience of Fixed Income, Commodities or Currency (FICC) markets
- Enthusiastic and positive can-do attitude


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