We're working with a boutique investment bank looking to strengthen its compliance function. They’re seeking a candidate with a strong surveillance skill set in either equities or fixed income and are open to teaching the advisory component. Opportunities like this are rare, as the larger banks have separate surveillance and advisory functions.
Key Responsibilities
- Monitor daily trading activity across multiple asset classes to detect potential market abuse or policy violations, ensuring alerts are reviewed and escalated in a timely manner.
- Support the implementation, calibration, and ongoing enhancement of trade surveillance systems such as Trading Hub or equivalent platforms.
- Advise the front office on regulatory obligations across Equities, Fixed Income, and Bonds to ensure business activities align with applicable regulations.
- Investigate flagged alerts and liaise with trading desks and other stakeholders to reach accurate and documented resolutions.
Requirements
- Prior experience in trade surveillance, market monitoring, or compliance within a financial institution or regulatory body.
- Familiarity with electronic trading systems, order/trade flows, and surveillance technologies such as SMARTS, Trading Hub, or similar platforms.
- Strong analytical and investigative skills, with the ability to interpret data and identify patterns or anomalies.
- Excellent communication skills, with the ability to work collaboratively across Compliance, Technology, and Front Office teams.
