Monitoring Analyst, Group Market Surveillance, Group Compliance

Job Description

Responsible for the day-to-day monitoring, review, and analysis of surveillance alerts relating to Global Markets activities, ensuring compliance with established departmental procedures, internal policies, and regulatory requirements. The role involves conducting detailed investigations into potential market misconduct, trading irregularities, control breaches, or compliance concerns, and ensuring that findings are accurately assessed and escalated on a timely basis.

Market Surveillance Monitoring & Analysis

Conduct daily monitoring of trading activities, communications, and alerts to identify potential market misconduct, irregularities, or control gaps.

Investigation & Case Management

Perform detailed investigations into suspicious activities, gather and validate evidence, and prepare clear, well-supported investigation reports.

Compliance & Procedure Adherence

Ensure all surveillance activities, investigations, and alert closures are conducted in accordance with established policies, procedures, and methodologies.

Escalation & Issue Management

Timely escalate identified risks, breaches, or control issues and provide clear rationale and documentation for actions taken.

Projects & Continuous Improvement Initiatives

Participate in surveillance system enhancements, process improvement initiatives, and compliance-related projects to strengthen monitoring effectiveness.

Cross-Functional Collaboration & Reviews

Support ad hoc reviews and collaborate with stakeholders across departments to address issues, close gaps, and enhance internal controls.

Team Support & Leadership Backup

Assist the Head of Monitoring in overseeing team operations, providing guidance, and ensuring continuity of operations in the absence of the team lead.

Job Requirements

• Experience in market surveillance, compliance, or related functions, with exposure to financial markets and products.
• Understanding of financial market regulations, trading activities, and surveillance practices.
• Strong ability to analyze trading behaviours, investigate alerts, and produce well-supported findings.
• Experience in handling projects, reviews, or initiatives, with ability to manage multiple tasks effectively.
• Strong verbal and written communication skills, with the ability to engage and influence stakeholders, including senior management.
• High attention to detail, integrity, resilience under pressure, strong work ethic, and proficiency in Microsoft Office tools