About this role
As a Senior Compliance Officer and subject matter expert in the Compliance Surveillance team, you will protect the firm by identifying, monitoring and investigating potential market abuse across Fixed Income and Listed Derivatives products in a highly scrutinized regulatory environment.
Your work involves reviewing surveillance alerts, conducting complex forensic investigations of trade lifecycles and linking data across multiple tools to detect policy breaches and market abuse risks.
You will partner closely with global stakeholders in Compliance, Front Office and Technology while training surveillance officers and contributing to strategic initiatives that strengthen the surveillance framework.
The role offers hybrid working, a non-contributory pension, 30 days holiday plus volunteering leave within a culture focused on continuous learning and professional development.
Requirements
- Proven surveillance experience covering Fixed Income products including rates, credit and related derivatives
- Strong understanding of trade lifecycle processes and market abuse risks
- Demonstrated ability to analyze trading data and conduct complex investigations
- Strong understanding of critical data elements across the trade lifecycle including order, execution, allocation and reference data
- Hands-on experience with surveillance and market data tools such as SmartBroker
- Excellent written and verbal communication skills with strong attention to detail and analytical skills
Responsibilities
- Review, analyze and investigate surveillance alerts and escalations across listed and fixed income products to identify potential market abuse and policy breaches
- Conduct complex forensic-style investigations of end-to-end trade lifecycles from order origination through execution and allocation
- Train and provide expert guidance to surveillance officers during reviews and investigations
- Partner with stakeholders to enhance surveillance methodologies and contribute to strategic global surveillance initiatives
- Assess regulatory requirements and internal policies to ensure surveillance controls remain effective and fit for purpose
- Act as subject matter expert for trade surveillance, escalating emerging risks and control gaps to senior management
Benefits
- Hybrid working model enabling remote work for part of the time
- Non-contributory pension
- 30 days holiday plus bank holidays with option to purchase additional days
- Life Assurance and Private Healthcare for you and your family
- Flexible benefits including Retail Discounts, Bike4Work scheme and Gym benefits
- Wide ranging CSR programme with 2 days volunteering leave per year
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