Trade Surveillance Expert

2 days ago


City of London, United Kingdom LHH Recruitment Full time

Job Description:

LHH Recruitment is seeking a highly skilled Trade Surveillance SME to join our client's Global Surveillance team in London, United Kingdom.

The successful candidate will play a critical role in monitoring and analysing trading activities to ensure compliance with market regulations. Key responsibilities include reviewing exceptions arising from surveillance tools, conducting targeted surveillance on higher-risk events, and providing written reports with evaluative commentaries.

Responsibilities:

  • Act as the first reviewer of exceptions arising from surveillance tools, analysing and reviewing all exceptions to resolution.
  • Conduct targeted surveillance on higher-risk events and provide written reports with evaluative commentaries.
  • Monitor trades to ensure the firm achieves best execution for clients.
  • Provide analysis and develop reports on account activities, market manipulation, and broker-dealer practices.
  • Write and maintain documented processes for tasks and team documentation.
  • Develop enhancements to existing surveillance controls, deliver training, and update procedure documentation.
  • Stay updated on regulatory standards, develop findings and procedure reports, and ensure compliance.
  • Attend key business committees and external events as a representative of the Global Surveillance Team.
  • Design, implement, and deliver training to ensure employees have up-to-date knowledge.
  • Lead internal and external audits and compliance monitoring reviews.

Salary Information: The estimated salary for this position is around £65,000 - £85,000 per annum, depending on experience.



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