Assess gaps in trade surveillance coverage across asset classes
Identify misconduct risks not captured by existing scenarios, including manual bookings, structured trades, supervisory gaps, cross-desk risks, off-channel activity, and other non-standard behaviours
Review end-to-end governance, escalation and oversight processes
Engage directly with Desk Heads, Compliance, Surveillance and Risk to validate findings and agree outcomes
Translate findings into structured remediation plans and control enhancements
Support regulatory responses and Internal Audit requests where required
Produce clear documentation that stands up to senior scrutiny and audit standards

6 to 15+ years’ experience in trade surveillance, markets compliance, or market conduct risk
Strong understanding of market abuse typologies, including spoofing, layering, insider dealing, and benchmark manipulation
Experience in a Tier 1 investment bank or a regulator
Strong knowledge of relevant regulatory frameworks, including MAR and UK and US conduct expectations (FCA and SEC/CFTC)
Proven experience identifying control gaps beyond automated surveillance systems
Confidence operating at VP to SVP level with Director and Managing Director stakeholders
Strong writing skills, you can turn complex conduct risk into clear, structured outputs

Business Analyst, Trade Surveillance, Market Conduct

Key skills