Monitoring and Surveillance Analyst

Michael Page Financial Services
08 Aug 2017
15 Aug 2017
Contract Type

A Financial Services online brokerage firm providing worldwide services is seeking to appoint a Monitoring and Surveillance Officer to their London office


This Financial Services- Online Brokerage requires a Compliance Monitoring and Surveillance Analyst to join their business and team in London

  • Carrying out trade surveillance and monitoring for transactions on EEA markets, including OTC and any product(s) that the business offers;

  • Assisting with the on-going design and development of relevant market surveillance reports;

  • Assisting with the design and development of trade reporting;

  • Carrying out best execution monitoring on EEA markets, OTC and other products and following up on any remedial action;

  • Assisting with the on-going design and development of relevant best execution surveillance reports;

  • Assisting with written responses market abuse enquiries from the FCA and other national regulatory bodies;

  • Supporting and coordinating the detection and mitigation of potential money laundering risk;

  • Assisting in the training of relevant staff to ensure continuing competence in accordance with the FCA regulations;

  • Keeping up to date with changes in market conduct regulations, FCA conduct of business and SYSC regulations; and

  • Keeping up to date with EU and with international developments in relevant areas of regulations and law.


The successful Financial Services- Compliance Monitoring and Surveillance Analyst will have the following:

Key Requirements

  • Bachelor's degree preferred: business, finance, accounting or technology-related preferred

  • Market surveillance, or related surveillance and compliance experience in investment firms

  • Brokerage, bank or securities industry experience

  • Knowledge of FCA market conduct rules and market regulations

  • Knowledge of FCA COBS rules regarding best execution etc.

  • Securities industry qualifications preferable

Ideal Requirements:

  • Must be a self-starter

  • Must have good analytical skills

  • Must have good oral and written communication skills

  • Must have a strong technical orientation and be comfortable with computers and technology as applied to surveillance and compliance

  • Must understand the nature and confidentiality of market abuse and AML related information

  • Must be able to work in a cordial, small-to-medium office environment

Job Offer

Competitive Package

Location: City of London

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