Trade Surveillance Analyst

Overview

In this role you join a small compliance team within an international trading firm to support trade surveillance and regulatory compliance. You will work closely with front desks and operations to review surveillance alerts, document resolutions, and assist with regulator inquiries. You’ll calibrate surveillance alerts, prepare management information, and deliver market conduct training to the front office. The position blends broad compliance duties with specialist exposure to trade surveillance, offering hands-on impact across policy updates and regulatory submissions. This is a chance to grow your Compliance career while contributing to a fast-moving trading environment.

Responsibilities

• Review and analyse surveillance alerts and reports on firm and client trading activity
• Review and analyse e-communication surveillance alerts and reports
• Document reviews and resolutions; escalate where appropriate
• Communicate surveillance findings clearly to management
• Assist with trade surveillance alert calibration assessments
• Assist in regulatory enquiries responses
• Prepare MI for senior management
• Conduct monitoring reviews from the Compliance Monitoring Plan
• Deliver training to front office on market conduct
• Update compliance policies and procedures
• Assist with system access requests for exchange trading platforms
• Gather information and prepare documentation for regulatory STOR submissions

Key requirements

• Minimum of 2 years in trade surveillance in brokerage or investment bank
• Experience with SMARTS (ideal)
• Experience with commodities products (ideal)
• Location: London, UK
• Permanent, full-time
• Mid level (2-5 years)

• clear communication
• stakeholder collaboration
• training and knowledge sharing
• trade surveillance
• SMARTS
• e-communication surveillance

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