Compliance Surveillance Specialist

4 weeks ago

London, Greater London, United Kingdom Investigo Full time
Compliance Surveillance Specialist

Investigo is seeking a skilled Compliance Surveillance Specialist to join their team in London. The successful candidate will be responsible for monitoring and analysing electronic communications and trade data to detect market abuse, misconduct, and breaches of internal policies.

Key Responsibilities:
  • Monitor and analyse electronic communications (email, chat, voice, and other digital platforms) for signs of market abuse, insider trading, or misconduct.
  • Support trade data monitoring efforts by analysing trading patterns and behaviour to detect potential regulatory breaches or manipulation.
  • Ensure compliance with market abuse regulations (MAR) and other relevant regulatory frameworks, such as MiFID II, EMIR, and REMIT.
  • Collaborate with the Compliance and Legal teams to investigate suspicious activity identified through surveillance.
  • 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.
  • Ensure all activities are conducted in accordance with internal compliance policies and external regulatory requirements.
  • 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).
  • Familiarity with different asset classes (Commodities, equities, fixed income, FX, etc.)
  • Experience with Actimize, NICE, or similar platforms) and ecomms monitoring solutions.

Investigo is a leading recruitment agency specialising in financial services. We are committed to providing exceptional service and expertise to our clients and candidates.

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