About this role
THE COMPANY
Our client is a leading world-wide broker; they are based in the City with a vast Global presence. They are looking for Surveillance Associate to assist with the Trade surveillance work day to day**within a small team
THE RESPONSIBILITIES
- Reviewing and analysing surveillance alerts and/or reports relating to firm and client order and/or trading activity
- Reviewing and analysing e-communication surveillance alerts and/or reports
- Reviewing telephone communications
- Properly documenting the review and resolution of the exceptions as well as escalating matters appropriately
- Communicating surveillance findings to management in a clear and concise manner
- Assisting with trade surveillance alert calibration assessments
- Carrying out manual monitoring tasks
- Assisting in the Firm’s response to enquiries received from exchanges and regulators
- Reviewing trading error reports
- Monitoring staff’s Personal Account Dealing activity
- Preparing relevant MI for senior management
- Conducting monitoring reviews from the Compliance Monitoring Plan
- Delivering training to front office on market conduct
- Updating compliance policies and procedures
EXPERIENCE REQUIRED
- Experience reviewing and processing surveillance alerts utilising surveillance
- Must have MAR experience - Trade & order surveillance
- Commodities derivatives exposure would be useful and knowledge of LME and ICE exchanges
For further information please contact Hannah Tabatabai
About compliance & regulatory roles for ex-police
Compliance, AML and regulatory roles. Working to PACE, RIPA and CPIA is a stronger regulatory grounding than most civilian applicants can offer — firms increasingly recognise this.
See all compliance & regulatory jobs in London →Why this fits a police background — match score 65/100
- Surveillance & covert work
- Working to legislation & regulation
What compliance & regulatory roles pay ex-police
Advertised UK ranges, editorial estimates reviewed July 2026
| Compliance analyst | £32,000–£42,000 |
| Compliance / AML officer | £40,000–£55,000 |
| Compliance manager | £55,000–£80,000 |
| Senior manager / head of compliance | £80,000–£120,000+ |