Trade Surveillance 1x Analyst /1x VP

  • Up to £80,000
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Hamlyn Williams
  • 09 Aug 18 2018-08-09

As a Trade Surveillance professional, you'll actively and promptly undertake Compliance Trade monitoring of key risk areas, reporting any concerns in line with set protocols and procedure. As well as perform investigations as directed by management and take control of the development of surveillance coverage and strategic solutions. You'll also be responsible for undertaking ad-hoc basis, directed projects and at times administrative topics.

Key Responsibilities:

  • Undertake Trade Surveillance using the firm’s monitoring tools as directed by management.
  • Support the collation and development of Management Information.
  • Support the implementation and enhancement of surveillance approaches and /or strategic solutions to meet review requirements.
  • Maintain and monitor a referential of remedial actions/recommendations arising from trade monitoring and ensure timely and satisfactory resolution of issues identified.
  • Liaison with Advisory Compliance officers and other key stakeholders and synergies regarding key topics
  • Assisting in regulatory and internal investigations as appropriate.
  • Proactive and timely escalation of issues to management
  • Maintaining awareness of key EU / FCA regulatory rules and updates. And where applicable transposing them into the trade surveillance program.
  • Participation in departmental and team meetings as required
  • Attendance at relevant industry and trade association seminars


The role involves autonomy on a day to day basis to perform directed BAU - which involves active liaison with the team and management. The priority of the role is to ensure BAU remains fit for purpose and where applicable, raise queries and escalations to management and other key stakeholders accordingly, ensuring the aforementioned are resolved accordingly to protocol.


To be successful in this role, the candidate must have:

  • 0-5 years of relevant experience or qualifications
  • A keenness to work in a regulatory risk management department.
  • A keen interest and a good understanding of existing and technology
  • A quick learner – keen to understand regulation, markets and internal/external technology solutions
  • A generalist understanding of how private and public sides of the Financial Industry operate would be advantageous
  • Highly analytical approach in regard to performed surveillance, supported by accurate record keeping and ability to manage and prioritise multiple review requirements.
  • Respect for highly sensitive information
  • A team player
  • Someone with an innovative mindset – who can think ‘outside of the box’ but collectively, understands standard BAU.


My client is looking to interview ASAP. Apply now, for more information.