This role will focus on the day-to-day monitoring and surveillance of trading activity, supporting the identification, review, and escalation of potential market conduct risks.
It is a hands-on role suited to someone early to mid-career, with an interest in financial markets and a strong attention to detail. The position will support activities across equities and related products, ensuring appropriate oversight of trading behavior and regulatory compliance.
Monitoring & Surveillance
- Monitor trading activity to identify potential market conduct risks
- Review alerts and transactions, investigating unusual patterns or behaviors
- Support the identification and escalation of risks including:
- Insider trading
- Market manipulation (including price manipulation and inappropriate arbitrage activity)
Risk & Compliance Support
- Support the operation of surveillance and monitoring frameworks
- Assist in maintaining controls aligned to investment banking activities
- Escalate issues or suspicious activity in a timely and structured manner
Product & Activity Oversight
- Provide support on equities-related activities and transactions
- Assist in the review of corporate actions (e.g. stock splits) from a risk and compliance perspective
- Work with internal teams to ensure activities are aligned with regulatory expectations
Regulatory & Operational Support
- Support regulatory reporting and documentation as required
- Assist with internal audits and regulatory reviews
- Maintain accurate records of monitoring activities and findings
Collaboration
- Work closely with Risk, Compliance, and Product teams
- Build an understanding of business activities to support effective monitoring
