Trade Surveillance - Associate

Location: Glasgow (Hybrid) | Practice Area: Capital Markets | Type: Permanent

• →Conduct surveillance of electronic communications (email, chat, voice) to identify potential market abuse, misconduct, or regulatory breaches
• →Review and escalate alerts in line with internal policies and regulatory requirements (e.g., MAR, MiFID II)
• →Document findings clearly and support investigations with accurate and timely reporting
• →Collaborate with Compliance, Legal, and Front Office stakeholders to enhance surveillance controls and processes
• →Contribute to ongoing optimisation of surveillance models, lexicons, and monitoring frameworks

• Experience in Communication Surveillance, Trade Surveillance, or Conduct Risk within an Investment Banking or Capital Markets environment
• Strong understanding of market abuse regulations and conduct risk frameworks
• Ability to analyse large volumes of information with accuracy and sound judgement
• Clear written and verbal communication skills, with the ability to present findings objectively
• Proactive approach to process improvement and control enhancement

• Experience working with surveillance tools such as NICE Actimize, Smarsh, Global Relay, or similar platforms
• Exposure to regulatory remediation or transformation programmes
• Knowledge of trade lifecycle processes across asset classes
• Familiarity with data analytics tools to support surveillance activities
• Experience operating within a consulting or client-facing environment