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Compliance Surveillance Analyst

2 months ago

London, Greater London, United Kingdom Investigo Full time

Job Title: Compliance Surveillance Analyst

Job Type: Full-time

Company: Investigo

Location: London

Job Description:

We are seeking a highly skilled Compliance Surveillance Analyst to join our team in London. As a Compliance Surveillance Analyst, you will be responsible for monitoring and analyzing electronic communications and trade data to detect market abuse, misconduct, and breaches of internal policies.

Key Responsibilities:

  • Monitor and analyze electronic communications (email, chat, voice, and other digital platforms) for signs of market abuse, insider trading, or misconduct.
  • Support trade data monitoring efforts by analyzing trading patterns and behavior to detect potential regulatory breaches or manipulation.
  • Regulatory Compliance: Ensure compliance with market abuse regulations (MAR) and other relevant regulatory frameworks, such as MiFID II, EMIR, and REMIT.
  • Investigations: Collaborate with the Compliance and Legal teams to investigate suspicious activity identified through surveillance.
  • Collaboration: Work closely with front office, compliance, risk management, and IT departments to ensure efficient and effective surveillance processes.
  • Prepare and present detailed reports and analysis for senior management, regulators, and internal audits.
  • Policy Adherence: Ensure all activities are conducted in accordance with internal compliance policies and external regulatory requirements.
  • Training: Assist in the development and delivery of compliance training related to ecomms surveillance.

Requirements:

  • A minimum of two years of experience in an ecomms surveillance role within a financial institution (investment banking or commodities).
  • Actimize, NICE, or similar platforms) and ecomms monitoring solutions.
  • Familiarity with different asset classes (Commodities, equities, fixed income, FX, etc.).