Associate Surveillance Officer

Our client is a leading financial services firm that is making a significant investment in its Market Surveillance function. This is an exciting opportunity to join a growing team that plays a key role in ensuring compliance with market abuse regulations while supporting the firm’s commitment to integrity and transparency.

The Role:

We are working with our client to recruit an experienced Surveillance Officer at the Associate level. Reporting to the Head of Market Abuse, this role offers broad exposure across the full surveillance lifecycle. From reviewing initial alerts and escalating issues to conducting detailed investigations and submitting STORs to the FCA, this position provides variety and ownership.

The role also involves monitoring a wide range of products, including Equities (listed, Futures & Options), Commodities (listed/non-physical), and other financial instruments. It is well-suited for individuals who enjoy hands-on work and want to be involved in every stage of the process.

Key Responsibilities:

• Reviewing alerts generated by surveillance systems and identifying potential issues
• Escalating concerns for further investigation when necessary
• Conducting detailed investigations into potential market abuse or misconduct
• Preparing and submitting Suspicious Transaction and Order Reports (STORs) to the FCA
• Monitoring trading activity across a broad range of products, including Equities, Commodities, Futures & Options, and other financial instruments
• Collaborating with internal teams to address compliance concerns and improve processes where needed

What We Are Looking For:

• Hands-on experience in market surveillance within financial services
• A solid understanding of market abuse regulations and reporting requirements (e.g., STOR submissions)
• Familiarity with trading products such as Equities, Commodities, Futures & Options
• Strong analytical skills with excellent attention to detail
• Clear communication skills—both written and verbal—and the ability to collaborate effectively with others

Preferred Skills:

• Experience using trade surveillance systems like SMARTS, Actimize, or similar platforms
• Knowledge of FCA regulations related to market abuse
• A proactive approach to problem-solving and improving processes

What’s On Offer:

• Salary: Negotiable based on experience at the Associate level
• The chance to work in a high-performing team within a respected financial institution
• Exposure to a wide range of products and end-to-end involvement in the surveillance lifecycle
• A hybrid working model offering flexibility while maintaining collaboration in a City-based office

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates