Compliance officer- Surveillance Calibration/ reporting

• Be a part of a global team that is responsible for developing, enhancing and maintaining the framework and methodologies relating to surveillance calibration, validation and optimization, analytics and reporting


• Execution of standards for surveillance scenario calibration, validation, optimization, analytics and reporting.


• Responsible for performing scenario calibration and re-calibration employing statistical analysis and other quantitative measurements to improve the effectiveness and efficiency of surveillance alerts.


• Perform validation and effectiveness reviews of various trade surveillances that involves an assessment of business specifications, regulatory coverage, product coverage, design implementation, etc.


• Coordinate with Regional Heads of Surveillance to and Regional Surveillance Leads to review quantitative output from calibrations and effectiveness reviews and to overlay qualitative elements to optimize scenarios and improve alert productivity


• Responsible for conceiving and developing (or working with Technology develop) Surveillance metric dashboards and reporting packs for internal (Surveillance team) and external publication that involves performance, operational and risk metrics.


• Contribute to the continuous improvement of the operating model for surveillance calibration, validation, optimization, analytics and reporting.


• Identify areas of improvement based on the calibration and validation findings and other key inputs

What program/technology/software knowledge is essential for this role?

• Nasdaq NTS (Smarts) - Calibration Implementation Workbench (essential)


• General Office Suite


• KX (First Derivatives)


• Trading Hub

Must have

• Experience performing and/or supporting surveillance activities for institutional sales and trading businesses


• Strong subject matter expertise on market abuse and strong technical knowledge of wealth management regulatory requirements


• Strong knowledge of industry best practice relating to surveillance techniques and methodology


• Experience working in a global organization with global teams across multiple regions, large and complex initiatives


• Experience and communication skills necessary to interact regularly with senior management within Compliance and the business


• Experience with effectively interacting and communicating surveillance standards and approach with internal auditors and external parties including regulators is a plus

Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003

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