A leading algorithmic trading firm is looking for a Surveillance Officer in their Compliance team.
Responsible for the timely analysis of alerts leading to the detection and prevention of market or firm damaging misconduct.
Highlight potential concerns and escalate to stakeholders; quickly identify abnormal and/or aberrant activity to surveillance senior management.
Provide strategic regulatory advice and support to the wider business
Work with the wider Legal and Compliance team to develop new policies and procedures for the firm.
Assist in the response to regulatory enquiries and examinations
Regulatory developments: keep abreast of regulatory developments that may impact the firm
Design and deliver Compliance training.
Perform ad-hoc reviews of trading activity by analyzing complex situations, identifying high risk behaviors, and applying judgement to resolve issues in an efficient manner
Design and deliver periodic Compliance reports and MI to senior management.
Educated to degree level or equivalent in a relevant subject
Experience working in surveillance at a Tier 1 bank or similar e-trading firm.
Background and understanding of the algorithmic-trading industry would be beneficial
Rutherford is a boutique search firm that specialises in legal, financial crime and compliance recruitment within the financial services and legal sector, with London and New York being the main focus. We use our carefully curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms and investment banks.
We are currently looking for regionally-located Compliance Officers from the following areas who would be interested in working for London firms on an interim WFH basis:
Kent, East Sussex, Essex, Cambridgeshire, Suffolk, Bedfordshire, Buckinghamshire, Hertfordshire, Oxfordshire, Berkshire, Wiltshire, Surrey or Hampshire. We are also interested in hearing from candidates in Manchester, Birmingham, Oxford, Winchester and Salisbury.