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Compliance Surveillance Analyst

Salary Competitive
Type Permanent
Location London
Sector Compliance
Job Reference T3A/HGW/29346
Contact Harry Warwick
Date posted 16-07-2018

Our client, a Top Tier Asset Manager, is looking for a Compliance Surveillance Officer to join their Compliance department based in London. The successful candidate will have good compliance monitoring or surveillance experience on the buy-side.

Key responsibilities include:
• Undertaking trade surveillance of trading activity across all asset classes
• Performing communication surveillance
• Undertaking thematic monitoring when required
• Escalating both monitoring results and surveillance findings where required

Required skills and experience:
• Experience delivering compliance reviews
• Trade surveillance experience
• Strong knowledge of the buy-side and operations within
• Analytically minded

For more information please contact Harry Warwick on 020 3145 3362, or

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Contact Harry about this job

Director, Compliance, Finance & Legal