Surveillance Officer - VP

Overview

Join a leading Corporate & Investment Bank and play a pivotal role in protecting market integrity, upholding regulatory standards, and driving excellence across our global surveillance framework. In this role, you will contribute to the design, implementation, and ongoing enhancement of surveillance models across a diverse range of business lines, including Global Markets, Investment Banking, and Treasury.

• Perform daily monitoring and testing of trade, order, RFQ, and market data alerts across all business lines.
• Contribute to the design and enhancement of surveillance controls covering conduct risk and market abuse.
• Follow up on alert calibration issues, logic refinement, and threshold adjustments.
• Investigate potential instances of market abuse, operational risk, or market integrity concerns, ensuring timely, accurate escalation.
• Support the management, calibration, and validation of surveillance models across all asset classes.
• Assess model identify deficiencies, propose enhancements, and contribute to ongoing platform improvements.
• Present findings and updates to relevant calibration committees.
• Upskill team members in data analysis and model interpretation.
• Produce high-quality periodic and ad‑hoc reports for the UK Head of Surveillance and Senior Compliance Management.
• Support the annual Compliance Monitoring Plan and contribute to regulatory, audit, and group reporting.
• Maintain accurate investigation records and full audit trails.
• Work closely with Front Office, Business Compliance Advisory, IT, and global surveillance teams.
• Provide training and guidance to senior management regarding system and platform changes.
• Participate in industry seminars to maintain awareness of regulatory developments.
• Stay abreast of key regulatory changes (FCA, EU, and UK requirements) and assess their impact on surveillance controls.
• Ensure compliance with internal policies, London Compliance Manual, and Financial Crime Policy.
• Maintain strict confidentiality given access to highly sensitive information.

• Bachelor degree or equivalent in a relevant discipline.
• Compliance qualifications (e.g., CISI) and experience in trade surveillance, monitoring, or investigations.
• Experience analysing large datasets and working with surveillance systems.
• Strong compliance reporting experience and understanding of capital markets products.
• Understanding of Market Abuse Regulation and related alert scenarios.
• Exceptional communication skills, high attention to detail, and analytical ability.
• Knowledge of UK/EU regulatory frameworks.

English