A leading global quantitative and systematic investment management firm is looking for a Compliance Surveillance Analyst to join its Compliance function.
This is a hands-on surveillance position combining electronic communications (eComms) and voice surveillance alert review with the opportunity to develop and enhance surveillance tools, alerts, data and controls.
The role would particularly suit someone from an HFT, hedge fund, quantitative, systematic, algorithmic or electronic trading environment who combines strong surveillance experience with Python and data skills.
You will work closely with Compliance, Trading and Technology, investigating alerts and potential misconduct while helping improve the technology, data and controls supporting the surveillance programme.
Key Responsibilities
Conduct daily communications surveillance and alert reviews across electronic and voice communications.
Review eComms alerts across email, Bloomberg chats and other electronic messaging channels.
Review voice surveillance alerts and investigate potentially concerning communications.
Conduct detailed investigations, document findings and escalate potential misconduct or conduct concerns.
Help develop, build, tune and enhance surveillance alerts, scenarios and controls.
Use Python and data analysis to investigate surveillance issues and support automation and monitoring enhancements.
Integrate new communications and data feeds into surveillance platforms.
Develop and improve data-quality controls to maintain accurate and complete surveillance coverage.
Create and enhance custom alerts, reports and surveillance scenarios.
Produce MI packs, management reporting and trend analysis covering surveillance activity and emerging risks.
Partner with Compliance, Trading and Technology to continuously improve surveillance systems and processes.
What We're Looking For
Ideally 2+ years' experience across communications surveillance, compliance surveillance, eComms surveillance or a closely related area. The underlying specification similarly targets 2+ years.Candidates with around 12 months' direct surveillance experience could also be suitable where they have particularly strong Python and data capabilities.
Experience within an HFT, high-frequency trading, quantitative, systematic, algorithmic or electronic trading environment is highly desirable.
Experience from a hedge fund, investment manager, market maker or proprietary trading environment would be particularly relevant.
