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Director - Trade Surveillance

Job description

Calling all Trade Surveillance candidates in Glasgow (or commutable to Glasgow)

I have multipe opportunities to work for a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.

Both roles are to work in their market leading surveillance team, responsible for designing, implementing and operating a range of automated surveillance controls to detect and report market abuse and other misconduct risks across the Firm's institutional securities and investment management businesses.

You will be reporting to the Head of EMEA Institutional Securities Trade Surveillance and will be the key trade surveillance contact in Glasgow and will be expected to build strong relationships with the rest of the EMEA Surveillance team, based in London and Mumbai.

You will be;

  • Overseeing or conducting the daily surveillance of equities, derivatives, fixed income and commodities trading to monitor for compliance with regulatory and exchange requirements
  • Liaising with Compliance colleagues, Operations and front office staff to investigate surveillance alerts as necessary
  • Resolving escalated alerts appropriately and promptly, documenting results clearly and escalating possible exceptions as appropriate
  • Monitoring the efficiency and effectiveness of reports where the daily output is managed by staff located offshore
  • Assisting with the design and deployment of new controls, in addition to the enhancement and calibration of existing controls
  • Working with key stakeholders (e.g. Sales & Trading Coverage, Business Unit Risk Management, Technology, third party vendors) to identify, design and implement enhancements to the surveillance program
  • Assisting in the production and enhancement of MI reporting
  • Providing expert advice to the Regulatory Enquiries and business-line Compliance teams on surveillance matters, including trading behaviour, exchange functionality, market dynamics, suspicious behaviours, etc.

Please send me your CV to with the below outlined;

  • Experience working within a surveillance environment
  • Experience using third party trade surveillance tools - e.g. Nasdaq, Trade Surveillance, Actimize and market data vendors (e.g. Bloomberg, Reuters Eikon)
  • Use of Tableau / SQL to query large data sets
  • Experience of Fixed Income, Commodities and Currency (FICC) markets
  • Strong analytical skills; experience of handling, analysing and presenting large data sets to identify exceptions or anomalies

Visit the IDEX Consulting Ltd website for further opportunities. We value diversity and always provide guidance based on merit. Please note that the information supplied may be retained for up to 3 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.