Surveillance Officer

Overview: You will be joining an established Compliance team located in the City (London) reporting to the Head of Compliance.The candidate will be involved with performing trade surveillance and monitoring of voice and electronic communications relating to the organisation’s trading and broking activities across the UK, US and Dubai.It is expected that...

Our client, a leading Commodity Trading firm are seeking to appoint a Surveillance Officer to join the team in London. The Surveillance officer will be responsible for ensuring compliance with regulations related to market abuse and insider trading. This role requires a deep understanding of financial markets, regulatory requirements, and the ability to...

Market Surveillance Officer position working for a Capital Markets business headquartered in the London, UK.Salary: Competitive, based on experience + benefitsJob Purpose: As a Market Surveillance Officer, you will be responsible for monitoring and closing market surveillance alerts and electronic communications to identify suspicious behaviour that could...

Our client, a leading energy brokerage, are looking for a Surveillance expert to help conduct electronic communication (ecomms) surveillance for their London team. This role is ideal for someone with an understanding of Market Abuse (MAR) and is a 6-month contract looking to pay around £400-£450 per day. Key Responsibilities: Assist to develop and maintain...

Who we are? Raymond James is a wealth management firm focused on providing trusted advice and tailored, personalised investment services. We believe if we do what’s right for clients, we’ll help them achieve success while also realising our own. Our parent company, Raymond James Financial, has been doing the same in the US for over six decades.Who we are...

We are currently looking to recruit 3 Trade Surveillance Analyst's on 6 month fixed term contracts. Within the role you will be assisting the Financial Crime Manager (Pillar 1) in trade surveillance reviews, investigations, and reporting of STORs. *** Please note that this role is onsite and would require 5 days per week in our London office near...

Miryco Consultants is working with a renowned Investment Manager who are looking for a Capital Markets Compliance Officer to join their dynamic and high performing compliance function. The company is in growth mode and is looking for an experienced individual to help comply and facilitate that expansion. This role is well suited for someone with a particular...

Responsibilities Work in partnership with Middle Office IT and stakeholders in compliance, Technology & front office to develop road maps Manage and communicate the IT strategy & vision for Trade Surveillance & Communications Oversee multiple projects and deliverables within the Trade Surveillance space Work with product owners & IT delivery teams...

We are working with a reputable hedge fund, headquartered in London. There is a requirement for an experienced Compliance Officer to join the existing Compliance team, reporting directly into the Chief Compliance Officer. This role will be generalised, duties include: Provide regulatory advice to the trading teams across multiple asset classes (Equities,...

Our client is a specialist hedge fund, HQ'd in London. After recent good performance and the recent launch of new funds, they are now looking to add a Compliance Manager to their existing team in London. Reporting into the Chief Compliance Officer, the Compliance Manager will be expected to perform a broad generalised compliance role, with an emphasis...

Our client is a leading European Investment bank with a significant presence in the UK.Their central London teams serve as a key hub for their international operations. Primarily focusing on Large Corporates & Financial Institutions, offering services in Investment Banking, Financial Sponsors, Markets, Equities, and Transaction Services.Role and Purpose: To...

Requirements: · Minimum of 5 years of experience in internal and/or external audit, compliance testing team or a similar function within the financial industry · Extensive experience in compliance test planning, processes and controls design assessments, controls operating effectiveness testing, transactional testing, surveillance systems, and...

Our client is a leading European bank with a significant presence in the UK.Their central London teams serve as a key hub for their international operations. Primarily focusing on Large Corporates & Financial Institutions, offering services in Investment Banking, Financial Sponsors, Markets, Equities, and Transaction Services.Role and Purpose: To support the...

A leading global Hedge Fund are looking to make a key Compliance hire. The firm have achieved excellent performance and they continue to rapidly expand, growing in both headcount and AUM.The role offers the opportunity to join a highly prestigious hedge fund that has very low attrition -they offer a) market leading compensation packages, b) incredible...

Job Advert: Compliance Officer Job Title: Compliance Officer Job Type: Permanent Hours: Full Time, 08:00 – 18:00, Monday to Friday Office Location: West End Salary: Market rate Benefits: Bonus, pension,...

Applicants should be internal auditors with a strong appreciation of the risks / controls associated with any of the following: Front Office Conduct Controls & Surveillance Traded Markets Products Projects & Programmes Financial Crime Market Risk / Counterparty Credit Risk Data Analytics Data Management IT Audit Asset Management Insurance Interviews...

Marketing ManagerLocation: London Office, WFH 1-2 days Reports to: CMOAbout Healthxchange: Founded in 2000, Healthxchange are the leading supplier of aesthetic medical products and devices to medical professionals within the UK. As a winner of the Aesthetic Awards for several years running, we pride ourselves on the quality of our products and our customer...

Main purpose of the Role:To serve as the FCA registered Compliance Officer (SMF16).To develop and deliver a Compliance Programme, including an Annual Compliance Plan and Compliance Monitoring Programme, designed to identify and manage regulatory risk.To manage a team responsible for delivering the Compliance Programme, providing advisory support and...

Are you a dynamic and driven sales professional looking to make a significant impact to support sustainable change for our planet? Join our team at KBC, where innovation meets opportunity, and help us shape the future. If you have a passion for forging strong customer relationships, identifying groundbreaking deals, and driving value through tailored...

Role Overview:Fintech/RegtechWe are seeking a product Manager with a minimum of two years experience to join our team, focusing on one of our surveillance SaaS product. As a Product Manager, you will play a critical role in driving the strategic direction, development, and successful delivery of this product. You will collaborate closely with stakeholders,...