Regulatory Surveillance Officer Regulatory Surveillance Officer …

Holmes Search
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
Holmes Search
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
Fantastic opportunity to join a small compliance team to champion the Surveillance function covering Voice, Ecomms and Trade monitoring activities


  • Conduct trade, electronic and voice e-communication surveillance monitoring activities and management of identified risks.
  • Review and analyse all relevant data and provide a diverse input/perspective
  • Assist with developing the infrastructure that supports the efficient and effective delivery of digital trading monitoring, surveillance and risk identification, within the financial trading markets.
  • Quickly understand the business and  process issues and data challenges
  • Asist in the revision of business processes and documentation then implement changes as appropriate
  • Assist with other monitoring and testing activities
  • Consistently applying a risk management approach to all aspects of the role.
  • Data/Information gathering for analysis.
  • Evidencing of all activities undertaken as per agreed minimum standards.
  • Identifying and escalating concerns/risks as they relate to regulatory requirements, firm policies and global standard.
  • Ensure appropriate and timely alert management  following a minimum standard for closure or escalation
  • Assist in the production of periodic management information
  • Work with key stake-holders and project teams to continue to develop business processes.

Financial Markets Monitoring/Surveillance knowledge:

  • Good knowledge of surveillance policies and procedures.
  • In-depth knowledge of UK regulations as they apply to the financial market products
  • Experience in driving critical statutory and regulatory processes for financial markets.

Financial Markets knowledge: 

  • Significant financial markets knowledge with a particular focus on fixed income, commodities & derivatives.
  • Knowledge of business processes from front to back office, inclusive of finance, middle office, risk management and treasury.
  • Regulatory investigations and complex market misconduct analysis.
  • CISI UK Financial Regulation & Securities Certificate preferable.

Technical skills: 

  • Exposure to eCommunication & trade surveillance technologies
  • Exposure to trading and risk management System and emerging Technologies

Excellent judgement, analytical and problem solving skills.