Role Summary
We are seeking an analytical and detail-oriented individual to join our Compliance function as a Market Surveillance Analyst. 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.
This is a hands-on position suited to an early- to mid-career professional with an interest in financial markets, strong analytical skills, and the ability to work with data. The role will support monitoring across equities and related products, helping ensure appropriate oversight of trading behaviour and regulatory compliance.
Key Analytical and Technical Skills
The candidate should have practical data and analytical skills to proactively monitor client activity and support the Compliance team in an evolving regulatory framework.
The candidate should have a sharp eye for detail to review risk indicators and help identify unusual client behavior, trading trends, or market anomalies.
The candidate should be able to:
- Use core data tools for analysis, including Excel for day-to-day work, with foundational experience in SQL and/or Python.
- Extract, clean, and manage client transaction data while adhering to strict data security and governance standards.
- Review risk indicators to identify unusual client behaviour, trading trends, and market anomalies.
- Produce clear, user-friendly reports and dashboards using Power BI, Excel, or similar reporting tools.
- Present findings in a structured way to help escalate potential risks to internal stakeholders, in line with Compliance specifications.
Key Responsibilities
The candidate should be able to transform these findings into clear, user-friendly reports and dashboards using Power BI, Excel, or similar reporting tools to help escalate risks to internal stakeholders. The type of reports, the analysis and monitoring to be performed and produced will be provided by the Compliance team.
1. Monitoring and Surveillance
- Monitor trading activity to identify potential market conduct risks.
- Review alerts and transactions to detect unusual patterns or behaviours.
- Investigate suspicious activity, anomalies, or outliers in client trading behaviour.
- Support the identification and escalation of risks, including:
- Insider trading
- Market manipulation, including price manipulation
- Inappropriate arbitrage activity
2. Risk and Compliance Support
- Support the operation of surveillance and monitoring frameworks.
- Assist in maintaining controls aligned with investment banking and capital markets activities.
- Escalate issues or suspicious activity in a timely, structured, and documented manner.
3. Product and Activity Oversight
- Provide support in relation to equities-related activities and transactions.
- Assist in reviewing corporate actions, such as stock splits, from a risk and compliance perspective.
- Work with internal teams to ensure activities align with regulatory expectations.
4. Regulatory and Operational Support
- Support regulatory reporting and documentation as required.
- Assist with internal audits and regulatory reviews.
- Maintain accurate and complete records of monitoring activities, findings, and escalations.
5. Collaboration
- Work closely with Risk, Compliance, and Product teams.
- Develop a strong understanding of business activities to support effective monitoring and surveillance.
- Contribute to the continuous improvement of monitoring processes and controls.
Skills and Experience
- 1–4 years experience in a role requiring strong analytical thinking, data interpretation, and report generation, preferably within financial services.
- Experience with monitoring, transaction review, or control-based activities.
- Comfortable working with data, alerts, and structured processes.
- Understanding of market abuse risks, including insider trading and price manipulation is a nice to have but not a must.
Profile / Personal Attributes
The successful candidate will demonstrate:
- Strong attention to detail.
- An analytical mindset and good judgement.
- Curiosity and an interest in financial markets.
- The ability to escalate appropriately and work within a regulated environment.
- A willingness to learn and develop professionally.
