Job Overview

Compliance Surveillance (Equities)

Location: London Salary: Competitive
Type: Permanent Contact: Liam O'Mahoney
Posted: over 1 year ago

A large banking organisation is currently looking to make an experienced hire in the equities surveillance space.  This role assists the organisation in managing trading risks and any misconduct by staff internally.

The role reports to the lead for markets surveillance and is responsible for assisting in the below responsibilities:


Key Responsibilities;

  • The successful candidate will support the program & help with the delivery of surveillance in the equities business.
  • Assisting team members with the implementation and roll-out of a new surveillance tools and models.
  • Identify potential new forms of staff or counterparty misconduct.
  • Determine whether these could be identified through the surveillance team’s current systems, processes, people and the data sets surveyed.
  • Continual support for senior management in adhoc project work and reporting.


Key Skills;

  • Proven technical expertise in the field of surveillance
  • Experience of BAU and project based surveillance work
  • Proven experience of working across teams and able to contribute to the strategic direction of a business
  • Equities knowledge from another banking organisation
  • Fluency in English language (written and oral)
  • Excellent written communication skills