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Compliance Monitoring and Surveillance Officer
Job Summary
The Compliance Monitoring & Surveillance Officer is responsible for the execution and enhancement of the firm’s Compliance Monitoring Programme (CMP), alongside ongoing thematic surveillance (e.g. written/voice communications, best execution). The role ensures the firm meets its FCA regulatory obligations, facilitates risk assessment for equity and fixed income sales and trading activities, and fosters a strong compliance culture through collaboration with Front Office, Risk, and Operations.
Regulatory standards enforced include MAR, MiFID II and FCA Handbook rules (SYSC, COBS, COB).
Primary Duties and Responsibilities
Compliance Monitoring Plan (CMP)
- Maintain, enhance, and execute a risk-based Compliance Monitoring Plan for equity/fixed income sales & trading activities.
- Conduct thematic and periodic reviews of critical areas (best execution, market conduct, client categorisation, inducements, conflicts of interest).
- Document findings, analyze root causes, and track remediation actions to completion.
- Update the CMP to align with regulatory changes or evolving business risks.
- Promote policy/process improvements based on monitoring outcomes, ensuring FCA compliance and industry best practices.
- Address compliance-related training gaps identified through monitoring.
Trade & Communications Surveillance
- Monitor trading activity for potential market abuse under Market Abuse Regulation (MAR) (e.g. insider dealing, manipulation).
- Surveillance of electronic communications (emails, chats, voice) to detect breaches of policies or misconduct.
- Investigate alerts from surveillance systems and escalate findings as needed.
- Optimize surveillance scenarios and filters to reduce false positives while improving effectiveness.
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Monitoring & Control Testing
- Perform control testing to validate effectiveness of compliance policies in Front Office.
- Conduct sample analyses of trades, client interactions, and transaction reports for regulatory compliance.
- Verify adherence to personal account dealing, gifts & entertainment, information barriers, and other controls.
Regulatory Reporting & Management Information (MI)
- Prepare clear compliance reports for senior stakeholders and governance committees.
- Generate MI/trend analyses to flag emerging risks or compliance concerns.
- Support regulatory obligations (e.g. FCA reporting, thematic reviews, and inspections).
Advisory & Stakeholder Engagement
- Provide regulatory guidance (and training) to sales-trading teams on MiFID II, best execution, and other compliance requirements.
- Collaborate with Front Office to embed strong conduct governance.
- Deliver workshops on surveillance, market conduct regulatory expectations.
Additional Responsibilities
- Best Execution & TCA Report Production (via Liquid Metrix).
- Update departmental procedures as required.
- Execute any other assigned duties within scope.
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Requirements
Knowledge, Skills & Attributes
Technical/Regulatory Competence
- Proven compliance/surveillance experience in an FCA-regulated firm.
- Deep honest market knowledge (fluency in equities/fixed income products).
- Comprehensive understanding of MAR, MiFID II/MiFIR, FCA Handbook SYSC, COBS.
- Familiarity with surveillance systems and alert handling protocols.
Transferable Skills
- Investigative/analytical acuity with meticulous attention to detail.
- Effective communication to cross-level stakeholders (from Front Office to senior governers).
- Ability to draft comprehensive reports and present findings.
- Challenging mindset for strong compliance advocacy.
- Skilled in translating complex regulatory rules into policy intentions.
Personal & Professional Soft Skills
- Adaptability to multi-tasking in a fast-paced environment.
- Strong communication (written/oral) with all organisational levels.
- High integrity and confidentiality compliance.
- Collaborative teamwork and independent project execution.
Experience Requirements
- Minimum 5–7 years in market surveillance, compliance monitoring, or related (focused on equities/fixed income within financial services).
Hours
- Standard business hours (with possible additional hours as needed).
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