Equities Trade Surveillance Compliance Officer

The equities trade surveillance compliance officer monitors daily and ad hoc trading activities to identify potential market abuse or manipulation, utilising systems such as Actimize and SMARTS.broker. They assist with audio and electronic communication surveillance, providing advice and conducting investigations to ensure adherence to regulatory standards. Ensuring surveillance procedures are followed, they escalate issues promptly and support the development of new surveillance initiatives. Working closely with the Head of Global Markets Surveillance, they prepare trade evidence for suspicious activity reports and contribute to quality assurance processes. Maintaining a comprehensive knowledge of EU and UK market abuse regulation and trading systems, they attend industry events to stay informed on market developments. The role demands strong equity product knowledge, attention to detail, and excellent report-writing skills.