Compliance Monitoring & Surveillance Senior Associate
Our client is a reputable organisation committed to maintaining high standards of compliance and integrity within the financial sector. The company fosters a collaborative and professional culture, offering individuals the opportunity to develop their expertise in regulatory monitoring and surveillance. This role involves supporting the organisation’s compliance framework through monitoring activities, ensuring adherence to regulatory requirements, and contributing to the overall risk management process. It is a key part of the organisation’s efforts to uphold its reputation and operational excellence.
Role Overview:
The Compliance Monitoring & Surveillance Senior Associate is responsible for conducting compliance monitoring and surveillance activities to help ensure the organisation’s adherence to financial regulations and internal policies. This role is vital in identifying and escalating potential compliance issues, supporting continuous improvement, and working closely with the wider compliance team.
Key Skills & Experience:
• Experience in financial compliance monitoring or surveillance
• Knowledge of financial services regulations and brokerage requirements
• Strong analytical and attention-to-detail skills
• Ability to work effectively on-site and collaborate with team members
Key Responsibilities:
• Conduct surveillance and monitoring activities to detect compliance breaches or suspicious activities
• Review and analyze trading and transactional data to identify risks or anomalies
• Support the updating and maintenance of compliance reports and documentation
• Escalate issues as appropriate and assist in investigations
• Work closely with relevant teams to implement control measures and improve monitoring procedures
Requirements:
• Right to work in the region
• Experience related to financial sector compliance or brokerage activities
• Ability to work on-site at the specified location
• Availability to undertake a temporary assignment for approximately 2 weeks starting from 22/06/2026
Nice to Have (Optional):
• Previous experience with surveillance tools or compliance software
If you meet the criteria and are available for this short-term assignment, please apply now to be considered.
