Surveillance Compliance Officer

6 days ago

London, Greater London, United Kingdom Black Swan Group Full time
Job Opportunity

Surveillance Compliance Role

Black Swan Group is seeking a skilled professional to join our markets surveillance function as a Surveillance Compliance Officer.

Your key responsibilities will include:

  • Conducting daily surveillance of trading activities to ensure compliance with relevant regulations and laws
  • Investigating potential instances of market abuse and rule breaches, and producing detailed reports highlighting the abusive behavior
  • Collaborating with the team to deliver various initiatives across surveillance, including system testing and implementation
  • Contributing to the improvement of current systems and processes
  • Serving as the point of contact for policies and procedures impacting the surveillance space
  • Developing and analyzing reports to inform business decisions

To be successful in this role, you will have:

  • Proven experience in the surveillance function of a financial services firm, preferably with expertise in the equities markets
  • A working knowledge of relevant regulatory frameworks and regulations, such as those enforced by the FCA
  • Experience in delivering surveillance projects and initiatives
  • Strong attention to detail and analytical skills
  • Excellent communication and interpersonal skills

For more information, please contact the Black Swan Group compliance team.

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