Compliance Surveillance Specialist

4 days ago

London, Greater London, United Kingdom Investigo Full time
Job Description

Investigo is seeking a highly skilled Compliance Surveillance Specialist to join our team in London. As a key member of our Compliance team, 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:
  • Electronic Communications Monitoring: Monitor and analyze electronic communications (email, chat, voice, and other digital platforms) for signs of market abuse, insider trading, or misconduct.
  • Trade Data Analysis: 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.
  • Reporting: 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).
  • Proficiency in Actimize, NICE, or similar platforms) and ecomms monitoring solutions.
  • Familiarity with different asset classes (Commodities, equities, fixed income, FX, etc.).

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