Associate, Surveillance

The Role

This role is a fantastic opportunity for the right candidate to be part of an innovative firm that is rapidly growing and breaking new ground in the financial markets in both the trading and post-trade environment. The Associate, Surveillance will be involved in supporting the firm’s approach to the surveillance of its trading venues across EMEA & APAC and at times other trading venues in the organisation. This will include helping with the development of the risk assessment and related surveillance tests and scenarios, and the delivery of day-to-day trade and communications surveillance activities. The role will require strong data analytical skills, a core understanding of market abuse regulations and an ability to think critically.

How You’ll Make an Impact

• Monitor and close market surveillance alerts and electronic communications to identify suspicious behaviour that could be indicative of market abuse, insider trading or inappropriate market conduct
• Calibrate and tailor monitoring systems to ensure that alerts are generated optimally and reduce false positives across trade surveillance and electronic communications systems
• Produce and review MI on surveillance activity to support the Senior Surveillance Officer in reporting to Boards and governance committees on the market abuse governance and control framework
• Assist the Head of Surveillance to:
  • perform the annual market abuse risk assessment (MARA) for each trading venue across EMEA & APAC
  • review policies and procedures relating to market abuse and electronic communications
  • maintain accurate paperwork and records to document decisions and track attendant actions arising from the Board and governance meetings
  • prepare training material for staff relating to market abuse
  • manage technical enhancements relating to compliance monitoring software such as Scila (trade surveillance) and Global Relay (electronic communications)
  • implement system changes arising from changes to market abuse regulations, guidance or best practice
  • escalate and investigate exceptions and incidents arising from market abuse and electronic communications monitoring
  • prepare material relating to STOR or SAR notifications to regulators

What We’re Looking for

• 3+ years of experience working in UK/EU financial services firms with 2+ years in trade surveillance, some experience working in Compliance, preferably in regulated electronic trading platforms, market infrastructure and trading firms
• Strong academic qualifications required; STEM degree highly regarded
• Experience working in market surveillance preferred
• Knowledge or experience in market abuse preferred
• Interest in financial markets, data analysis, and compliance
• Team player, ability to work flexibly and tenacity
• Strong report writing and documentation skills
• Languages - English – must be fluent, written and spoken; preferable if proficient in Japanese
• Ability to multi-task and work independently and reliably
• Articulate in reporting findings in a clear and concise manner

What You Can Expect from Us 

• Central Location: based at our city offices near St Paul's
• Free Food: We provide lunch each day of the week when the employee attends the office via our vendor Feedr as well as breakfast cereals, office snacks and drinks from our free vending machines 
• Paid Time Off: 25 days annual leave entitlement plus 2 charity days
• Reward for your service: We offer a two-week bonus holiday after completing each 5 years of service 
• Core benefits: Besides competitive standard benefits package we offer private medical (PMI) for family, Cash Plan, health screenings, dental cover, 6X life assurance, critical illness cover, income protection, pension, car leasing (Tusker electronic cars), reimbursement for wellness stipend, interest free season ticket loan and a “Share Incentive” plan
• Tuition Assistance and Professional Training: Benefit from on-demand learning, boot camps, and opportunities to attend conferences 

Collaboration and innovation are integral to our success – it's how we got to where we are and how we’ll maintain and grow our competitive advantage. We believe this best happens in an office environment. Employees work in the office 4 days a week. This approach still allows for flexibility depending on the business function you work within but also helps us maintain a collaborative office environment long-term.