Trade Surveillance Officer – Hedge Fund

Consulting & Corporate
January 15, 2024

Job Description


Job title: Trade Surveillance Officer – Hedge Fund

Company: Eames Consulting

Job description: A global hedge fund is looking for a proactive and experienced Trade Surveillance Officer to join their London office. This exciting new position will report to the Head of Trading Compliance in New York and involve overseeing, expanding, and enhancing the trade surveillance program while providing compliance oversight.

Responsibilities:

  • Assisting in the overall management, implementation, and maintenance of the company’s compliance trade surveillance program, including regular assessments of regulatory and trading compliance initiatives.
  • Staying informed about industry standards and regulatory trends in surveillance, using market and regulatory knowledge to drive innovative surveillance requirements and identify areas for improving existing compliance trade surveillance protocols. Collaborating with the Technology team and external vendors to implement and improve new surveillance system requirements and reporting.
  • Aiding in preparations for internal and external audits, regulatory examinations, and investigations.
  • Reviewing reports on trader errors, proxy votes, global sanctions, and ad hoc metric reporting and analysis.
  • Enforcing compliance policies and reviewing electronic trade communications, promptly reporting or escalating issues to the Head of Trading Compliance or Chief Compliance Officer when necessary.

Qualifications:

  • Relevant degree with a strong academic background.
  • Minimum of five years of experience in investment advisory or broker-dealer trade surveillance
  • Proficiency in using electronic systems, databases, Excel, and other technological tools for surveillance tasks.
  • Solid understanding of securities laws applicable to private funds in the U.S., UK, and internationally.
  • Knowledge of investment trading and local financial compliance regulations.
  • Experience in managing the surveillance change process, ensuring compliance with business and functional requirements within the governance framework.

Please apply or get in touch for more information!

Eames Consulting is acting as an Employment Agency in relation to this vacancy.

Expected salary:

Location: London

Job date: Sat, 13 Jan 2024 08:20:11 GMT

Apply for the job now!

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