Drweng3mo ago

Surveillance Analyst

United Kingdom·London,Londonmid

OtherSurveillance Analyst

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Quick Summary

Overview

DRW is a diversified trading firm with over 3 decades of experience bringing sophisticated technology and exceptional people together to operate in markets around the world.

Technical Tools

excelpythonsql

Responsibilities

~2 min read

→Monitor and review automated trade and electronic communications surveillance alerts across the firm's global trading activity, covering on-exchange and OTC markets across equities, fixed income, commodities, FX, futures, and options, initially with focus on Europe (including the UK).
→Configuration of existing alerts for new activity or to improve on existing studies.
→Document investigation findings clearly and concisely, maintaining a robust audit trail to regulatory standards.
→Escalate suspected breaches to senior compliance staff, and support market abuse related inquiries from Exchanges, DEA Providers, and Regulators.
→Analyse alert performance data and recommend calibration adjustments to improve detection quality and reduce noise.
→Contribute to the design, development, and testing of new surveillance scenarios and detection models in response to evolving trading strategies, new products, or regulatory guidance.
→Perform user acceptance testing (UAT) for surveillance system enhancements, new alert configurations, and platform upgrades.
→Draft and maintain Business Requirement Documents (BRDs) for new or modified surveillance studies.
→Use SQL, Python, and data visualisation tools to extract, analyse, and interpret large trade and market datasets to support investigations, thematic reviews, and surveillance programme enhancements.
→Identify opportunities to automate manual surveillance workflows and reporting processes.
→Maintain a strong working knowledge of the EU and UK Market Abuse Regulation.
→Contribute to the maintenance and review of relevant compliance policies and procedures including the annual review of EU/UK automated trading.
→Administer the Personal Account (PA) Dealing framework, including employee support, alert review, policy adherence monitoring, and management of the annual attestation process.
→Provide regular Management Information on Surveillance to the relevant Boards of Directors.
→Contribute to ad-hoc projects and general support of the Compliance function including trader registrations with Exchanges and reviewing trade data of new activity.

Minimum of a Bachelors degree in Finance, Economics and/or STEM field.
Minimum 3 years’ experience in Market Abuse surveillance.
Proficiency in SQL for querying and analysing large datasets.
Working knowledge of Python & SQL
Advanced Microsoft Excel skills
Excellent English written and verbal communication skills; ability to document investigations and present findings clearly to senior stakeholders and regulators.