Surveillance Officer

A leading algorithmic trading firm is looking for a Surveillance Officer in their Compliance team.

  • Responsible for the timely analysis of alerts leading to the detection and prevention of market or firm damaging misconduct.
  • Highlight potential concerns and escalate to stakeholders; quickly identify abnormal and/or aberrant activity to surveillance senior management.
  • Provide strategic regulatory advice and support to the wider business
  • Work with the wider Legal and Compliance team to develop new policies and procedures for the firm.
  • Assist in the response to regulatory enquiries and examinations
  • Regulatory developments: keep abreast of regulatory developments that may impact the firm
  • Design and deliver Compliance training.
  • Perform ad-hoc reviews of trading activity by analyzing complex situations, identifying high risk behaviors, and applying judgement to resolve issues in an efficient manner
  • Design and deliver periodic Compliance reports and MI to senior management.

Requirements:

  • Educated to degree level or equivalent in a relevant subject
  • Experience working in surveillance at a Tier 1 bank or similar e-trading firm.
  • Background and understanding of the algorithmic-trading industry would be beneficial

 

Contact:

Jackson Baker

Email: jackson@rutherfordsearch.com

Linkedin:  https://www.linkedin.com/in/jackson-baker-b500314b/

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