Lorien
Trade, Transaction Oversight & Surveillance Analyst
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Trade, Transaction Oversight & Surveillance Analyst
6-Month Contract | UK Based | Hybrid/Flexible Working
We are seeking an experienced Trade, Transaction Oversight & Surveillance Analyst to join a high-profile compliance transformation programme within a leading investment and pensions organisation. This contract opportunity will play a critical role in strengthening Line 1 oversight frameworks as trading activity and regulatory obligations continue to grow. The successful candidate will bring deep expertise across transaction reporting, trade surveillance, best execution, market conduct controls, and regulatory oversight, while helping establish sustainable monitoring and governance capabilities for the future.
The Opportunity
Working across Compliance, Trading, Middle Office, Legal, Risk, and Transformation teams, you will be responsible for designing and embedding robust first-line oversight arrangements covering trade and transaction reporting, surveillance, best execution, fair allocation, and regulatory compliance. You will also leverage technology, automation, Power BI, Copilot, and wider Microsoft tooling to improve monitoring, reporting, controls, and governance processes.
Key Responsibilities
Trade & Transaction Reporting Oversight
- Design and implement sustainable Line 1 oversight frameworks for trade and transaction reporting activities.
- Strengthen oversight of regulatory reporting obligations including:
- EMIR
- SFTR
- CFTC Form 40 and other relevant reporting requirements
- Assess reporting quality, identify breaches, and support remediation activities.
- Oversee delegated reporting arrangements and third-party service providers.
- Implement governance structures, issue management processes, breach assessment frameworks, and remediation tracking.
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Best Execution & Fair Allocation
- Develop and enhance oversight controls supporting Best Execution and Fair Allocation obligations.
- Design risk-based monitoring and control testing frameworks.
- Review and challenge execution quality metrics and associated governance reporting.
- Ensure appropriate evidence and documentation standards are maintained.
Trade Surveillance & Control Room Activities
- Strengthen Control Room and Trade Surveillance capabilities across both Private and Public Markets.
- Oversee Information Barrier controls and Conflicts of Interest management processes.
- Support surveillance monitoring activities and conduct-related oversight.
- Identify control enhancements to improve market conduct risk management.
Data, Analytics & Automation
- Define monitoring data requirements, controls, testing methodologies, and evidence standards.
- Develop and enhance Power BI dashboards and management information reporting.
- Leverage Microsoft Copilot, AI tools, and automation techniques to improve monitoring effectiveness and reduce manual processes.
- Deliver scalable and sustainable MI solutions that can be maintained by the permanent team.
- Reduce reliance on spreadsheet-based controls through automation and reporting improvements.
Governance & Capability Building
- Enhance governance reporting, breach escalation procedures, and remediation tracking.
- Support operational readiness for increased trading volumes and business growth.
- Deliver knowledge transfer, coaching, and training to permanent team members.
- Create sustainable processes, documentation, and operating procedures to ensure long-term success following completion of the assignment.
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Essential Experience
- Proven experience within an asset manager, investment firm, asset owner, pensions provider, or institutional investment environment.
- Strong Line 1 oversight experience covering:
- Trade & Transaction Reporting
- Best Execution
- Fair Allocation
- EMIR
- SFTR
- Experience operating delegated regulatory reporting oversight models and managing third-party providers.
- Strong understanding of regulatory reporting requirements and reporting quality assurance.
- Demonstrated experience assessing reporting breaches, root causes, and remediation actions.
- Hands-on experience developing Power BI dashboards and management information solutions.
- Experience using Microsoft Copilot, AI-enabled tooling, and automation to improve controls and reporting.
- Strong background in risk-based monitoring, control testing, and governance reporting.
- Extensive Control Room and Trade Surveillance experience.
- Practical knowledge of:
- Information Barriers
- Conflicts of Interest Management
- Market Conduct Controls
- Ability to work effectively across Compliance, Trading, Middle Office, Legal, Risk, and Transformation functions.
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