Job Title: Compliance Surveillance Officer - Fixed Income, Swaps & Derivatives
Location: London
Salary/Rate: £500-600 per day, Outside IR35
Start Date: 04/08/25
Job Type: Initial 3-6 Month Contract

Company Introduction

We have an exciting opportunity now available with one of our sector-leading consultancy clients! They are currently looking for a skilled Compliance Surveillance Officer to join their team in London.

Job Responsibilities/Objectives

You will be responsible for taking the lead on managing manual surveillance coverage, trade reconstructions, and play a key role in the migration to the Nasdaq SMARTS automated surveillance platform.

* Take ownership of surveillance activity across Fixed Income, Derivatives, and Swaps, with a focus on enhancing manual controls.
* Lead the transition from existing manual processes to automated monitoring through Nasdaq SMARTS.
* Investigate and escalate potentially suspicious trading activity to Compliance management and, where appropriate, to regulators.
* Perform comprehensive trade reconstruction reviews using a combination of Global Relay, voice surveillance platforms, and internal data systems.
* Support thematic reviews and the annual Market Abuse Risk Assessment (MARA), incorporating findings into improved surveillance frameworks.
* Ensure the firm's surveillance practices meet expectations of key global regulators including the FCA, NFA, AMF, AFM, and MAS.
* Operate within the firm's risk and compliance framework, escalating risk events as needed.
* Uphold and promote the firm's ethical standards and conduct principles across all compliance activities.

Required Skills/Experience
The ideal candidate will have the following:

* 7+ years of relevant experience in Surveillance or Compliance, ideally with direct coverage of Fixed Income, Derivatives, and Swaps.
* Strong knowledge of market abuse regulations and experience implementing surveillance controls.
* Hands-on experience with surveillance platforms such as Global Relay and Nasdaq SMARTS, or similar tools.
* Proven ability to develop and implement manual surveillance processes and drive automation projects.
* Experience in working within regulated environments and familiarity with global compliance requirements.
* A degree in a related discipline (e.g., Finance, Economics, Law) is preferred but not mandatory.
* Excellent documentation and stakeholder management skills, with a high level of integrity and attention to detail.

Key Competencies

* A strong collaborator with the ability to build relationships across compliance, trading, and technology teams.
* Able to work effectively under pressure in a fast-paced regulatory environment.
* Analytical and detail-oriented, with sound judgement in identifying compliance concerns.
* Clear and confident communicator with the ability to articulate complex issues at all levels of the business.
* Resilient and self-motivated, demonstrating a proactive approach to risk identification and mitigation.

If you are interested in this opportunity, please apply now with your updated CV in Microsoft Word/PDF format.

Disclaimer
Notwithstanding any guidelines given to level of experience sought, we will consider candidates from outside this range if they can demonstrate the necessary competencies.

Square One is acting as both an employment agency and an employment business, and is an equal opportunities recruitment business. Square One embraces diversity and will treat everyone equally. Please see our website for our full diversity statement.