Compliance Monitoring and Surveillance Officer

THE COMPANY:

We are working with a great client of ours, a leading securities business, in their search for a Compliance Monitoring and Surveillance Officer.   Principal tasks include execution and enhancement of the firm’s Compliance Monitoring Programme (CMP), alongside ongoing thematic surveillance.

THE RESPONSIBILITIES:

Compliance Monitoring Plan (CMP)

• Maintain, enhance and execute a risk-based Compliance Monitoring Plan covering equity and fixed income sales and trading activities.
• Conduct thematic and periodic reviews across key risk areas
• Document findings, assess root causes, and track remediation actions to completion.
• Regularly review and update the CMP to reflect regulatory developments and business changes.
• Update and enhance Compliance policies and procedures where monitoring outcomes identify a need for enhancements,
• Ensure relevant action is taken where training needs are identified during or as a result of the monitoring

Trade & Communications Surveillance

• Perform ongoing surveillance of trading activity to identify potential market abuse (e.g., insider dealing, market manipulation) in line with Market Abuse Regulation (MAR).
• Monitor electronic communications (emails, chats, voice where applicable)
• Investigate alerts generated from surveillance systems and escalate issues where necessary.
• Calibrate and enhance surveillance scenarios and thresholds to improve effectiveness and reduce false positives.

Monitoring & Testing

• Conduct control testing to assess the effectiveness of compliance controls
• Perform sample-based reviews of trades, client interactions, and transaction reporting to ensure regulatory compliance.
• Assess adherence to policies such as personal account dealing, gifts & entertainment, and information barriers.

Regulatory Reporting & MI

• Prepare clear, concise compliance monitoring reports for senior management and relevant governance committees.
• Produce management information (MI) and trend analysis to identify emerging risks and areas of concern.
• Support regulatory reporting obligations and assist with FCA queries, thematic reviews, and inspections.

Advisory & Stakeholder Engagement

• Provide compliance guidance to equity and fixed income sales and trading teams
• Partner with Front Office to embed a strong conduct and compliance culture.
• Deliver training on surveillance, market conduct, and regulatory expectations.

EXPERIENCE REQUIRED:

• Experience in a compliance monitoring/market surveillance role within the financial services industry.
• Strong knowledge of relevant regulations including but not limited to Market Abuse Regulation (MAR); MiFID II / MiFIR; and FCA Handbook (e.g., SYSC, COBS)
• Demonstrable experience covering equity and fixed income products in an institutional sales and trading environment ideally
• Familiarity with surveillance systems and alert handling processes.
• Strong analytical and investigative skills with attention to detail.

For further information please contact Natalie Eshelby