Compliance Officer – Communications Surveillance, Analyst

Overview

In this role you will support and later potentially lead trade and communications surveillance for FX and Fixed Income across the firm, ensuring timely regulatory reporting and risk mitigation. You will collaborate with London and Casablanca teams to enhance surveillance capabilities, manage risk, and drive improvements in reporting and oversight. The position blends day-to-day monitoring with strategic initiatives to strengthen the surveillance offering and governance. You will engage with stakeholders to address issues, participate in audits, and contribute to surveillance metrics and regulatory responses.

Responsibilities

• Conduct communications surveillance of Fixed Income and other business units using firm monitoring tools under established procedures
• Possibly expand to performing Trade Surveillance for Fixed Income/FX markets
• Compile and issue regulatory reporting obligations as required
• Collaborate with London team and management to manage risks with extended team coverage in Casablanca
• Support collation and development of Management Information (MI)
• Lead implementation and enhancement of surveillance approaches and strategic solutions
• Maintain a database of remedial actions from trade surveillance and ensure timely resolutions
• Represent Capital Markets Surveillance in stakeholder engagements on topics, risks, and issues
• Develop and report CMS metrics, KPIs, and KRIs
• Participate in surveillance controls reviews with Compliance and BU colleagues
• Coordinate and deliver regulatory or internal investigations/reviews
• Facilitate and coordinate audit lifecycle activities for surveillance capability to recommendation management and reporting
• Escalate issues to management proactively
• Lead departmental and team meetings as required
• Engage in industry seminars and feed back insights internally
• Identify and implement solutions to surveillance changes driven by regulation or market events

Key requirements

• Relevant experience in FX/Fixed Income Markets
• Working knowledge of surveillance tools is advantageous but not essential
• A risk-management mindset
• Flexible approach to BAU and change
• Working knowledge of Fixed Income regulations, markets, and practices
• Analytical approach to surveillance with accurate record keeping and ability to manage multiple reviews
• Respect for the sensitive nature of the role
• Teamwork and cross-border collaboration within global teams
• Innovation and project skills to improve surveillance offerings
• Strong documentation and presentation skills
• English required; French and other languages desirable

• teamwork
• analytical thinking
• effective communication
• surveillance tools (industry leading tools advantageous)
• data collection and MI/ KPI/KRI development
• regulatory and internal investigations coordination

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