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Surveillance Officer

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Jackson Baker

  • Contact email:

    jackson@rutherfordsearch.com

  • Job ref:

    BAJ008

  • Published:

    12 days ago

  • Expiry date:

    2020-09-30

​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