Compliance and Surveillance Analyst (9F43C79)

Referment is working with a global options market maker that provides liquidity across equity, fixed income, commodity and FX derivatives markets. The firm combines proprietary trading technology with a flat, collaborative culture, and this role sits in a small, high-performing compliance team with significant individual responsibility.

The Role

You will be the firm's primary trade surveillance specialist within Compliance, overseeing the surveillance framework end to end: reviewing and enhancing its methodology and procedures, performing monthly risk-based quality assurance on alerts, investigating escalated matters through to a reasoned STOR or no-STOR recommendation, and leading the annual Market Abuse Risk Assessment review and the annual review of surveillance alert parameters. You will work closely with Middle Office to ensure alerts are generated, reviewed and closed appropriately, act as the primary Compliance contact for surveillance-related issues, and ensure new markets, instruments and trading venues are incorporated into the framework as the firm's trading activity develops.

Alongside surveillance, you will own a broad range of compliance responsibilities across the group: managing the Compliance inbox, owning day-to-day personal account dealing controls, handling KYC-related requests, executing the Compliance Monitoring Programme, coordinating inductions and the annual training programme, managing the operational aspects of the annual SM&CR attestation process, overseeing routine compliance reporting and submissions, and handling routine regulatory enquiries across the firm's regulators and jurisdictions internationally. A key expectation is improving how compliance operates: reviewing processes critically, contributing to the firm's compliance automation and modernisation programme, and owning process-improvement initiatives through to implementation, with an interest in AI and new technology.