Job Description
My client is a very successful alternative investment manager, the firm has a global reach and is experiencing continued growth.
This senior hire will join the cohesive London team. While the role offers scope for broader responsibilities, the immediate focus is on candidates with strong surveillance experience from a sell-side firm or investment manager. The ideal candidate will be technically proficient with surveillance systems and confident engaging with portfolio managers and traders in high-pressure environments.
Duties will include:
* Monitor trading activity to detect potential market abuse and ensure adherence to regulatory compliance standards.
* Operate and assess surveillance systems, including alert handling, system capabilities, and performance evaluations.
* Maintain working knowledge of regulatory frameworks including FCA, ESMA, and other relevant authorities.
* Collaborate with front office teams (investment and dealing desks) and cross-functional support teams.
* Lead on annual market conduct review and risk assessment for senior management.
* Lead on market conduct risk assessment.
* Support the wall crossing approvals process with a view to taking this over.
* Assist with compliance related to exchange contract position limits, coordinating with Market Risk and portfolio managers (prior experience not required)
* Train compliance officers on surveillance procedures, alert management, and effective communication with business units.
The successful incumbent will have the following profile:
* c 8 years’ experience at a bank or investment manager with a focus on market conduct and surveillance of market conduct
* Experience of using trade surveillance Systems is essential
* Experience of trade surveillance system alert calibration and management
* Experience of market abuse detection in both fixed income and futures markets (Insider Trading, Spoofing, Layering) experience
* Electronic Communications Monitoring (Bloomberg, chat, email) experience is essential.
* Strong analytical and investigative skills
* Understanding of exchange contract position limits
* Market conduct risk assessment experience is helpful.
* Experience onboarding new surveillance system is desirable
* Advisory experience with trading staff desirable
* Wall crossing process experience is desirable.
* Understanding of FCA SM&CR desirable
* Microsoft Office – Word, Excel (essential), Bloomberg
We really appreciate every application, but due to the high volume of interest we receive, we are unfortunately unable to respond to everyone individually.
#J-18808-Ljbffr