Surveillance Officer

Role : Surveillance Officer

Location: Jacksonville, FL (Hybrid)

Employment Type: Contract

Role Overview

We are seeking an experienced Surveillance Officer (AVP) to join the Compliance Surveillance team. This role is responsible for monitoring trading and communications activities to identify potential market abuse, policy violations, and regulatory risks across multiple asset classes.

The ideal candidate will have strong experience in Trade Surveillance, Market Abuse Surveillance, Regulatory Compliance, Capital Markets, Trading, Risk Management, and Financial Crime investigations, with the ability to conduct complex investigations and engage with regulators and senior stakeholders.

Key Responsibilities

1. Trade & Communications Surveillance

• Conduct daily surveillance of trading and communications activities across:
  • Fixed Income
  • Derivatives
  • Foreign Exchange (FX)
• Monitor for:
  • Market Abuse
  • Insider Trading
  • Market Manipulation
  • Policy Violations
• Ensure compliance with internal policies and regulatory requirements

2. Investigations & Regulatory Compliance

• Investigate surveillance alerts and potential violations
• Perform detailed analysis of trading activities and employee communications
• Document findings and escalate suspicious activities
• Support regulatory inquiries and examinations

3. Regulatory Reporting

• Prepare reports and materials for regulators including:
  • Federal Reserve (FRB)
  • Securities and Exchange Commission (SEC)
  • Financial Conduct Authority (FCA)
  • BaFin
• Present findings to senior management and compliance leadership

4. Stakeholder Management

• Partner with:
  • Compliance
  • Legal
  • Risk
  • Trading Desks
  • Business Management
• Support cross-functional investigations and issue resolution

5. Surveillance Program Enhancement

• Participate in strategic surveillance initiatives
• Improve surveillance methodologies and detection capabilities
• Support trade and communications surveillance enhancements
• Contribute to regulatory compliance projects

6. Mentorship

• Provide guidance to junior surveillance analysts
• Review investigations and regulatory assessments
• Support knowledge sharing and best practices

Required Qualifications

Experience

• 5+ years of experience in one or more of the following:
  • Trade Surveillance
  • Regulatory Compliance
  • Market Surveillance
  • Risk Management
  • Internal Audit
  • Trading Operations
  • Capital Markets Compliance

Financial Markets Knowledge

Strong understanding of:

• Capital Markets
• Fixed Income
• Equities
• Credit Derivatives
• Foreign Exchange (FX)
• Financial Products
• Trading Operations

Technical Skills

• Advanced Microsoft Excel
• Data Analysis
• Pivot Tables
• Large Dataset Analysis
• Regulatory Reporting

Professional Skills

• Strong analytical and investigative skills
• Excellent written and verbal communication
• Stakeholder management
• Attention to detail
• Ability to manage multiple priorities

Email- "Happiness can be found, even in the darkest of times, if one only remembers to turn on the light."
- JK Rowling