Compliance Monitoring - Surveillance SME | London, UK | Hybrid

Square One Resources • London, England, GB • 1w ago

Job Title: Compliance Monitoring - Surveillance SME Location: London (Hybrid) Salary/Rate: £500-575 Per day Start Date: 26/05/25 Job Type: Contract - Outside IR35

Company Introduction:

We have an exciting opportunity now available with one of our sector-leading Financial Services clients! They are currently looking for a skilled Compliance Monitoring Surveillance Specialist to join their team on either a 3-6 month initial contract in London.

Job Responsibilities/Objectives:

This is a senior surveillance SME (Subject Matter Expert) role within Compliance Monitoring/Trade Surveillance, with a broader governance and optimisation focus, rather than just alert review. It's a strategic/oversight role aimed at improving the surveillance framework at a financial services institution.

Communications Surveillance Oversight:

Defining what comms platforms are permitted (e.g., Teams, WhatsApp, Signal).

Ensuring appropriate governance around blocking and approvals. Possibly working with tech/risk/legal on system restrictions and policy enforcement.

Control Design Review:

Reviewing effectiveness of controls that don't lead to many escalations-identifying if they're too lenient or genuinely low-risk.

MARA (Market Abuse Risk Assessment) Embedding:

Aligning surveillance controls with the bank's Risk Appetite Statement. Ensuring MARA is properly integrated into ongoing compliance frameworks/processes.

Inter-Entity Surveillance SLAs:

Governance around surveillance services provided to subsidiaries or affiliate entities. Formalising and reviewing Service Level Agreements.

Linking with Financial Crime Compliance (FCC):

Ensuring trade surveillance and financial crime processes are aligned. Specifically, understanding and preparing for Jan 2025 FCA guidance updates - which may relate to hybrid communications, market abuse, or ESG-related financial crime.

Required Skills/Experience:

The ideal candidate will have the following:

• Surveillance SME with strategic thinking. • Experience in Tier 1 bank or large investment firm. • Can bridge the gap between policy, control design, governance, and technical surveillance. • Likely someone at Senior, or VP level in Compliance.

If you are interested in this opportunity, please apply now with your updated CV in Microsoft Word/PDF format.

Disclaimer: Notwithstanding any guidelines given to level of experience sought, we will consider candidates from outside this range if they can demonstrate the necessary competencies.

Square One is acting as both an employment agency and an employment business, and is an equal opportunities recruitment business. Square One embraces diversity and will treat everyone equally. Please see our website for our full diversity statement.

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