Trade Surveillance Officer

Senior Trade Surveillance Officer - L2 Investigations

We are working with a Global Banking Organisation, seeking an experienced Senior Trade Surveillance Officer to join its EMEA Compliance and Surveillance function in London.

This is a hands-on Level 2 Trade Surveillance position focused on investigating escalated surveillance alerts and identifying potential market abuse across a broad range of financial markets.

Key responsibilities:

• Conducting detailed L2 investigations into trade surveillance alerts referred by the Level 1 surveillance team.
• Investigating potential market abuse, including insider dealing, market manipulation, spoofing/layering and other suspicious trading behaviours.
• Reviewing trading activity using trade/order data, market data, communications and other internal and external information sources.
• Determining whether cases should be closed or escalated to senior Surveillance and Compliance stakeholders.
• Supporting and documenting investigations that may result in Suspicious Transaction or Order Reports (STORs).
• Working closely with Front Office, Compliance and other Surveillance teams to obtain evidence and investigate suspicious activity.
• Reviewing alert and escalation trends to identify emerging market conduct risks.Providing challenge and feedback to L1 surveillance teams to improve the quality of alert disposition.
• Supporting management information and reporting to senior Compliance stakeholders.

Key Skills/Experience:

• Strong evidence/track record of Trade Surveillance experience within an investment banking environment.
• Strong hands-on experience conducting L2 trade surveillance investigations.
• Demonstrable experience investigating market abuse and suspicious trading activity.
• Strong knowledge of UK/EU Market Abuse Regulation (MAR), MiFID II and FCA market conduct expectations.
• Broad financial markets knowledge across Equities, Fixed Income, FX, Repos and Derivatives, including futures, options and swaps.
• Experience investigating cases involving potential insider dealing and/or market manipulation.
• Exposure to STOR investigations/submissions would be highly desirable.
• Experience with surveillance platforms such as Nasdaq SMARTS, KX or similar would be beneficial.

This would suit an established Trade Surveillance professional looking to join a complex, global banking environment and take ownership of high-quality L2 market abuse investigations.

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