Jain Global
Trade Surveillance Compliance Specialist
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Job Description
We are seeking an experienced Trade Surveillance Compliance Specialist to join our growing Compliance function. In this role you will take primary responsibility of assisting with the design, calibration, and ongoing oversight of the firm's global trade surveillance program.
Reporting directly to the EMEA Deputy CCO, you will work closely with compliance technology, investment staff, and the global Compliance team to ensure that the firm's surveillance infrastructure remains robust and proportionate to the nature, scale, and complexity of the business.
Key Responsibilities
System Design & Calibration
- Work with the EMEA Deputy CCO in the design, implementation, and ongoing calibration of the firm's trade surveillance systems, including Nasdaq Trade Surveillance (NTS), ensuring scenarios and thresholds are appropriately configured to reflect the firm's strategies, regulatory obligations and risks.
- Conduct regular reviews and testing of surveillance system parameters, to minimize false positives and enhance detection capabilities.
- Develop a deep understanding of the trading patterns of various Business Units, working closely with different departments to ensure compliance.
- Partner with the technology and data teams to resolve any technical issues or challenges that hinder the identification of potential compliance issues.
- Contribute to documentation of surveillance methodology, including the rationale for scenario selection and calibration decisions.
- Assist with reviewing and updating the firm’s Market Abuse Risk Assessment (MARA) on a regular basis, and in line with changes in the firm’s trading strategies, controls and risks.
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Alert Review & Investigation
- Conduct first-line review and triage of surveillance alerts generated by NTS and other systems, applying sound judgement to assess the significance of flagged activity.
- Investigate potential compliance breaches or suspicious activities, gathering and analyzing trade data, e-communication records, and contextual information to assess whether the activity warrants further escalation to senior compliance management.
- Prepare clear and well-evidenced investigation reports and maintain comprehensive records of alert dispositions in accordance with the firm's documentation standards and regulatory expectations.
- Work closely with global Compliance officers to discuss and address compliance issues and ensure consistent adherence to regulatory standards across offices.
- Prepare periodic trend analysis, updates and other management information on surveillance activities, findings, and any identified compliance risks.
- Help ensure that the firm's business activities align with internal policies, including regarding prevention and detection of insider trading and market abuse, and protection of proprietary information.
- Assist with regulatory enquiries, examinations, broker inquiries, or internal audits relating to trade surveillance.
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Qualifications & Experience
- 4–7 years of experience in trade surveillance, market abuse compliance, or a closely related role within an investment firm, broker-dealer, or regulatory body.
- Demonstrable hands-on experience with institutional trade surveillance platforms; direct experience with Nasdaq Trade Surveillance (NTS) is strongly preferred.
- Strong understanding of market abuse regulations, including the EU and UK Market Abuse Regulation (MAR), and the FCA’s expectations relating to market abuse controls.
- Proficient analytical, written, and verbal communication skills.
- Keen attention to detail and a robust work ethic. The ability to work independently and as part of a team.
Why Join Us
- Impactful Role: Take ownership of a critical compliance function with direct visibility to senior leadership, including the EMEA Deputy CCO.
- Sophisticated Environment: Work with industry-leading surveillance technology across a diverse range of strategies and asset classes in a global multi-strategy hedge fund.
- Professional Development: Build your career in a firm that holds compliance to the highest standards, with access to ongoing training, mentorship, and industry engagement opportunities.
- Collaborative Culture: Join a team that combines rigorous standards with a collegial and intellectually engaging working environment.
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