TRADE SURVEILLANCE OFFICER - LONDON

Details :

• Role:  Trade Surveillance Officer

Department: Compliance

Start Date: asap

Location: London

• Salary: As per Kepler Cheuvreux’ s policy 

Kepler Cheuvreux :

Kepler Cheuvreux is a leading independent European financial services company that specialises in Research, Execution, Fixed Income and Credit, Structured Solutions, Corporate Finance, and Asset Management.

The Group employs over 650 people and is present in 14 major financial centres in Europe, the US and the Middle East: Amsterdam, Brussels, Dubai, Frankfurt, Geneva, London, Madrid, Milan, New York, Oslo, Paris, Stockholm, Vienna, and Zurich.

Group Key Figures:

• 1st independent European equity broker.
• 1st Equity Research coverage in Continental Europe.
• 1st Country Broker and Research (Extel 2025).
• 14 major financial centres in Europe, US and the Middle East.
• 650 employees.
• 1,300 institutional clients.

Your Tasks:

We are looking for a Junior / Mid-level Surveillance Analyst eager to develop expertise in market abuse risks and their manifestations within capital markets. The ideal candidate will have proven experience in trade and/or communications surveillance and will be adapt at reviewing alerts and conducting risk-based, event-driven surveillance.  They will have an awareness and understanding of UK financial regulations and FCA rules.

• Analyze market abuse risks and their implications.
• Monitor and review alerts related to trading activities.
• Conduct thorough risk-based surveillance and event-driven investigations.
• Understand and manage surveillance data requirements and their interplays.
• Build and nurture constructive working relationships with traders, business partners, and both internal and external stakeholders.
• Stay informed about regulatory drivers for surveillance, including MAR, and MiFID.
• Provide support to the UK compliance officer and MLRO with their duties to the FCA.
• Keen and used to data crunching, identification and implementation of technical solutions.

Your Profile And Skills:

• Between 1 and 3 years of experience.
• Strong understanding of market abuse risks and surveillance methodologies or proven ability to learn
• Experience in trade surveillance.
• Ability to interact confidently with traders and stakeholders.
• Knowledge of relevant regulatory frameworks and compliance standards.
• Appetite for no code or low code solutions investigation is key.
• Fluent in English.  French speaker is beneficial but not required.

Recruitment Process:

Between 2 and 3 rounds of interviews: both fit and technical questions You will need a flexible and creative approach in order to flourish in our international environment and succeed with our diverse client base. If you possess these qualities and would like to be part of Kepler Cheuvreux’s story, then come and join us!

Join us at Kepler Cheuvreux, where you will play a crucial role in ensuring market integrity and compliance within a dynamic investment environment.

Please note that Kepler Cheuvreux promotes equal opportunity. All applications will be given due consideration.