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Trade Surveillance Officer- Fixed Term Contract

Altus Search Ltd
Closing date
15 Sep 2021

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Job Details

Ref: 1256ASI

Title: Trade Surveillance Officer- Fixed Term Contract

Location: London

Salary: Attractive

Date: 08th September 2021

Our client, a leading investment bank is looking for a Trade Surveillance Officer to join their team and help in ensuring that the business meets its regulatory obligations. The individual would also help in identifying and mitigating risks across the business, surveillance monitoring and help promote a proactive regulatory culture.

Duties Include:

  • Good knowledge of regulatory requirements and a good understanding of relevant regulations or industry standards.
  • Develop effective relationships and networks within the global e-communications compliance function.
  • Act as a subject matter expert in the performance of surveillance monitoring across a range of products.
  • Participate in departmental compliance and conduct risk assessment exercises to help direct the work of the department.
  • Be involved in conducting market conduct risk assessment and scenario analysis.
  • Complete the regular tasks necessary to complete the reviews, monitoring, testing and surveillance.
  • Be able to perform deep dive transactional review and be able to identify potential market abuse.

The preferred candidate will ideally have a surveillance background from either a bank or broker/dealer and experience within both trade and surveillance. You should also possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively.

If you are interested in this opportunity, please email your C.V. to or call on +44 20 7430 1831 for a confidential discussion.

Our client is an equal opportunity employer and values diversity at the company. The company does not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

Altus Search Ltd is acting as an employment agency about this role.
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