Surveillance Analyst

About the job

The Surveillance function, sitting within Compliance, monitors Market Conduct, Financial Crime (which includes money laundering, terrorist financing, bribery and corruption, sanctions breaches, facilitation of tax evasion, fraud, modern slavery, insider dealing and market manipulation) and Conflicts of Interest risks. Automated transactional and communication monitoring systems provide daily capabilities across key market abuse and financial crime behaviours for review by team analysts. A manual monitoring programme supplements the automated generation, allowing for larger scale data reviews across asset classes and communication media formats.

What you'll be doing

This Analyst Level 1 role within the Surveillance & Investigations team is responsible for the initial review and triage of surveillance Level 1 Analysts play a critical role in identifying and escalating that warrant further investigation, including those that may lead to the submission of Suspicious Transaction or Order Reports (STORs) or Suspicious Activity Reports (SARs) related to financial crime.

An in-house developed surveillance system provides automated capabilities across a number of key market abuse and financial crime scenarios for review by the team who escalate any unusual or suspicious behaviour to the Surveillance & Investigations.

Surveillance Operations: Conduct automated and manual surveillance in line with established procedures.

Identify and escalate potential market misconduct or suspicious transactions.
Perform communications surveillance to detect risks such as financial crime, market abuse, conflicts of interest, anti-competitive behaviour, and data leaks.
Data Management & Analysis:

Support manual monitoring through spreadsheet-based analysis, including VBA-enhanced tools
System & Process Support:

Assist with testing and evaluation of surveillance system enhancements.
Support ad-hoc projects, including regulatory/exchange enquiries and related remediation.
Internal Collaboration & Reporting:

Liaise with stakeholders across the business on surveillance matters.
Contribute to risk assessments, management reporting, and training delivery
What you'll need to be successful

Excel VBA skills (optional)
Experience working in a Surveillance unit within a regulated financial institution, ideally an Investment Bank or Broker Dealer.
Experience working with transaction, client and firm static data.
Experience analysing and presenting data within Excel or other reporting tools.
Understanding of Commodity products and experience in Commodity market abuse monitoring
Understanding of Investment Banking/Primary Markets transactions
Understanding of relevant Market Abuse laws, regulations and guidelinesUnderstanding of Financial Crime rules and regulations, including rules and regulations on anti-money laundering (e.g. the Joint Money Laundering Steering Group (JMLSG) guidance), counter-terrorism, anti-bribery and corruption, sanctions and fraud.