Surveillance Analyst, Compliance

Overview

In this role you will join a fast-paced, global compliance function at a quantitative investment manager to review electronic and voice communications for potential misconduct. You will assess alerts, conduct investigations, and escalate findings as part of trade surveillance duties. You will help develop systems and controls to strengthen surveillance and produce management information packs to monitor trends and emerging risks. This position offers a hands-on opportunity to shape the surveillance program within a growing firm.

Responsibilities

• Review electronic and voice communications to identify potential misconduct
• Review and investigate alerts and escalate findings
• Participate in trade surveillance duties
• Contribute to development of surveillance systems and controls
• Produce management information packs to monitor trends and emerging risks

Key requirements

• 2 years’ financial markets compliance experience including communications surveillance
• Availability for a role in a fast-paced, high-growth environment

…