Senior Compliance Manager (surveillance / advisory)

Job Description

My client is a very successful alternative investment manager, the firm has a global reach and is experiencing continued growth.

This senior hire will join the cohesive London team. While the role offers scope for broader responsibilities, the immediate focus is on candidates with strong surveillance experience from a sell-side firm or investment manager. The ideal candidate will be technically proficient with surveillance systems and confident engaging with portfolio managers and traders in high-pressure environments.

Duties will include :

• Monitor trading activity to detect potential market abuse and ensure adherence to regulatory compliance standards.
• Operate and assess surveillance systems, including alert handling, system capabilities, and performance evaluations.
• Maintain working knowledge of regulatory frameworks including FCA, ESMA, and other relevant authorities.
• Collaborate with front office teams (investment and dealing desks) and cross-functional support teams.
• Lead on annual market conduct review and risk assessment for senior management.
• Lead on market conduct risk assessment.
• Support the wall crossing approvals process with a view to taking this over.

Assist with compliance related to exchange contract position limits, coordinating with Market Risk and portfolio managers (prior...