Surveillance Manager

The role: Trade Surveillance – Manager:We are looking for an experienced professional to join our Market Abuse Trade Surveillance team. With a wide and varying portfolio of projects within market abuse, this is an exciting opportunity to be part of a growing, market leading team.Responsibilities:• We require the individual to lead technical client...

THE COMPANY:Our client is a leading securities firm based in the City. They are looking to hire a Trade Surveillance Manager for their team, it is essential that the candidate has people management experience. THE RESPONSIBILITIES:Managing the Surveillance function and working with the Trade Surveillance analysts to conduct trade surveillance and related...

Trade Surveillance ManagerLocation: London, United KingdomContract: PermanentSalary: Competitive, with a comprehensive benefits package and hybrid workingWhy This Role?Are you ready to lead a crucial surveillance compliance function in a thriving financial environment? This Trade Surveillance Manager role will put you at the forefront of safeguarding our...

Trade Surveillance – Assistant Manager:We are looking for an experienced professional to join our Market Abuse Trade Surveillance team. With a wide and varying portfolio of projects within market abuse, this is an exciting opportunity to be part of a growing, market leading team.Responsibilities:• We require the individual to support technical client...

William Rose Associates is actively partnering with a boutique investment firm based in London which is looking for a Trade Surveillance Analyst to join them. ESSENTIAL SKILLS | Trade Surveillance AnalystMUST come from a brokerage background1-2 years experience in either Operations or Compliance Familiarity with Bloomberg is usefulOVERVIEW | Trade...

Day Rate/Contract opportunity (6 months+): A leading commodities firm in London is seeking an Ecomms Surveillance Analyst to join their Compliance team. 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. While experience in...

Trade Surveillance Analyst – London Gibbs Hybrid are looking for an accomplished Trade Surveillance Analyst to act as first reviewer of exceptions arising from the trade surveillance tools from a market abuse and anti-competition perspective. You will analyse and review all exceptions through to full resolution, identifying areas requiring further...

Our Risk Management Group's Surveillance team is integral to our commitment to maintaining the highest standards of integrity and compliance within the markets we operate. This global team specialises in conducting surveillance across all regions, ensuring market manipulation, misconduct, insider trading, and misuse of electronic communication are...

Operate as a Senior BA to drive global trade surveillance strategy and execution within the IT function, working closely with Compliance, Technology, and business stakeholders to develop product roadmaps.Key Responsibilities:Conduct business analysis on regulatory-focused technology initiativesDefine and document user requirements for trade...

Our Trade Surveillance team is instrumental in safeguarding the integrity and effectiveness of our trading operations. Operating from our London office, this team is dedicated to the continuous improvement of our trade surveillance systems, ensuring they are finely tuned to adapt to varying market conditions and trading strategies. By leveraging both...

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...

Account Manager – Trading AnalyticsLocation: London (Hybrid)Salary: Up to £100,000Skills: Account Manager, Trading Analytics, Trade Surveillance, TCA, Transaction Cost Analysis, Best Execution, up selling, cross sellingMy client is a leading provider of financial services trading analytics software whose platform is supplied directly to financial services...

This role provides the role holder the opportunity to join a small newly formed team supporting the Deputy Head of EMEA CPD overseeing the day-to-day administrative and operational functions of the EMEA CPD Department. This team has the responsibility to deliver and implement a series of initiatives which span across business as usual and change activities...

The operations team looks after the portfolios of a number of CLO deals and requires a steady pair of hands to execute all duties to the highest standard. With close exposure to the portfolio managers, the successful candidate will be expected to have between 1 - 3 years' experience on CLO 1.0 and CLO 2.0 deals. The team works across EU and US CLOs and...

Fixed Term Contract Duration - 5 Months About the Business Quilter plc is a leading provider of financial advice, investments and wealth management, committed to being the UK's best wealth manager for clients and their advisers. Quilter oversees £111.6 billion in customer investments (as at 31 March 2024). It has an adviser and customer offering...

A leading credit manager is looking for an additional member to their CLO operations team. The business is very dynamic and promotes autonomy with an established team that has proven success over the years. We're open to candidates from banks, funds, and auditors.The operations team looks after the portfolios of a number of CLO deals and requires a...

THE COMPANY: Our client is an international investment bank based in the City. They are looking for a Compliance Officer with a specialization in Financial Crime to join the Business.THE RESPONSIBILITIES:Experience in US Swap Dealer businessCFTC rules and US Swap Dealer requirements & monitoring Implement and conduct market surveillance and communications...

Company Overview: Well established and boutique investment manager specialising in fixed income markets, targeting opportunities within the most liquid global markets. Our UK office is regulated as an Alternative Investment Fund Manager, whilst other international branches operate under MiFID regulations, overseen by the local financial supervisory...

Company DescriptionEnGenius Europe is a leading expert in wireless communications technology, specializing in wired and wireless communication solutions for the SOHO and SMB market. The company's portfolio includes managed and unmanaged wireless solutions, Gigabit switches, and IP-based surveillance systems known for their long-range connectivity and...

An excellent opportunity has arisen at a leading Investment bank in the city for Regulatory Change Compliance Manager to work across all entities of the group and all 3 lines of business in relation to any new regulatory change initiatives.Within this role you will contribute to the reviews and analysis undertaken in respect of Regulatory Change. You will...