Sr. Compliance Associate - Market Surveillance

📋 Description

• Review and disposition surveillance alerts across our regulated markets, and record the reasoning
• Carry out analytical reviews that begin with trade and order data rather than with a
• Investigate escalated behaviour end to end: gather the data, reconstruct what happened, and write
• Assess referrals raised from across the business and externally, and take forward the ones that
• Draft suspicious transaction and order reports and suspicious activity reports.
• Produce management information and regulatory reporting for the entities we cover.

🎯 Requirements

• At least 2 years experience in trade surveillance, market abuse investigation or trading conduct
• Working knowledge of the core market abuse typologies, for example spoofing, layering, wash
• Experience reviewing and dispositioning surveillance alerts, and writing up what you found to a
• Clear, evidence-first written communication. Your case files and escalations will sometimes be read
• Comfort using generative AI and other automation tools to improve the speed and quality of
• Based in the UK, Ireland, Cyprus, Malta, Romania or Canada, with fluency in English.

🎁 Benefits

• Exposure to crypto-asset markets is welcomed but not required.
• Hands-on use of a surveillance platform such as Scila, Nasdaq SMARTS, Eventus or NICE Actimize.
• SQL or a similar query tool for evidence-gathering.
• Experience drafting suspicious transaction and order reports or suspicious activity reports.
• Electronic communications surveillance experience.