Senior Compliance Associate Lead – Market Surveillance

This is a fully remote position, open to applicants in United Kingdom, +3 more countries.

📋 Description

• Conduct thorough investigations of complex market abuse cases from start to finish, including referrals that do not originate from alerts.

• Present findings from investigations to senior compliance stakeholders and the business.

• Review the work of colleagues in the capacity of a senior reviewer.

• Act as an escalation point for decisions related to alert and case treatment judgments.

• Participate in threshold and model reviews, adjusting detection mechanisms as trading behaviors, products, and market structures evolve.

• Assist with the development of the surveillance platform and tools by defining detection objectives and validating outcomes.

• Prepare suspicious transaction and order reports, as well as suspicious activity reports.

• Contribute to market abuse risk assessments and translate identified risks into surveillance coverage strategies.

⛳️ Requirements

• A minimum of 4 years of experience investigating market abuse or trading conduct within a firm subject to market conduct regulations.

• Proven track record of managing investigations from start to finish, writing findings to a regulator-reliant standard, and presenting conclusions to stakeholders.

• Strong understanding of core market abuse typologies across various asset classes.

• Practical experience with surveillance platforms such as Scila, Nasdaq SMARTS, Eventus, or NICE Actimize.

• Proficiency in SQL or a similar querying tool.

• Exposure to threshold or model calibration, platform integration, or market abuse risk assessment activities.

• Ability to communicate clearly in writing, with an evidence-based approach and sound judgment regarding escalation.

• Must be based in the UK, Ireland, Cyprus, or Canada.

• Fluency in English is required.

• Experience in crypto-asset markets is advantageous but not obligatory.

• Background in mentoring or serving as a senior reviewer for junior analysts is a desirable asset.

• Experience with the implementation or development of surveillance platforms is a valuable addition.

• Familiarity with electronic communications surveillance is considered a plus.

🏝️ Benefits

• Commitment to equal opportunity employment practices.

• Consideration of job-related skills or work-style assessments alongside experience and interviews.

• Flexibility to work remotely.

• Opportunity to engage with a globally accessible financial infrastructure platform.

• Continuous applications accepted when no deadline is specified.