The EMEA Compliance Surveillance team (“Surveillance”) monitors and analyses the sales, trading and banking activities as well as undertaking the surveillance of electronic communications (e.g. e-mail, Bloomberg etc.) and telephone communications. Surveillance utilises and develops electronic tools and integrative techniques to detect potential and/or actual violations of the Firm’s policies and legal/regulatory requirements.

As an Associate within the Surveillance team, you will work in close partnership with various Compliance teams and groups across the Firm. If you are driven, proactive with a keen interest in financial markets and trading activities, you may be the perfect fit for our team. This role specifically will be part of the Communications Surveillance team.

Job responsibilities

• Review communications surveillance alerts on a daily basis across different asset classes
• Perform thorough review of communication content and research relevant information
• Engage with business aligned compliance teams, surveillance technology partners and other key stakeholders
• Carry out ad hoc reviews and searches

Required qualifications, capabilities, and skills

• Good knowledge of financial markets and products
• Strong analytical and risk assessment skills, strong attention to details
• Excellent investigative instincts and background/experience in reviewing communications
• You have the ability to effectively partner with key stakeholders and technology partners

• Additionally you possess:

  • initiative and judgement;
  • the ability to prioritise conflicting demands, be proactive, well-organised and work under pressure;
  • skills to work with management and forge strong partnerships with colleagues;
  • the ability to work independently and in teams and the readiness to share knowledge;
  • strong oral and written communication skills;

Preferred qualifications, capabilities, and skills

• Degree or overseas equivalent would be desirable but not essential
• Non-English language skills preferred