Compliance Surveillance Analyst

• Assisting team members with the reviewing and analyzing of surveillance alerts and/or reports relating to firm, employee and client trading activity
• Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately
• Gathering and analyzing trade data to assist in the Firm’s response to inquiries received from governmental and exchange regulatory bodies
• Supporting the compliance group in evaluating surveillance results for potential problems
• Communicating surveillance findings to management in a clear and concise manner
• Interacting with legal and other compliance personnel
• Responding to inquiries or requests from internal partners
• Assisting with the design and implementation of new surveillances as well as the refinement of existing ones
• Handling telephone hotlines and performing data entry
• Appropriately assessing risk when business decisions are made, demonstrating consideration for the firm's reputation
• Adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices
• Escalating, managing and reporting control issues with transparency

• Excellent written and verbal communication skills
• Must be a self-starter, flexible, innovative and adaptive
• Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
• Proven project management and organizational skills and capability to handle multiple projects at one time
• Proficient in MS Office applications (Excel, Word, PowerPoint)
• Knowledge of Compliance laws, rules, regulations, risks and typologies
• Some knowledge in area of focus

Advanced degree preferred

• Generous holiday allowance starting at 27 days plus bank holidays
• increasing with tenure
• A discretional annual performance related bonus
• Private medical insurance packages to suit your personal circumstances
• Employee Assistance Program
• Pension Plan
• Paid Parental Leave
• Special discounts for employees, family, and friends
• Access to an array of learning and development resources