Compliance Professionals
Surveillance Associate (LME)
Surveillance Associate (LME) at Compliance Professionals, across the UK, paying £85,000 per annum. This is a contract role.
- Pay
- £85,000 per annum
- Hours and contract
- Contract · On site
- Location
- UK wide
- Closing date
- Sector
- Security
About 79% above the going rate for security
Reference https://www.complianceprofessionals.co.uk/?post_type=job_listing&p=70234
About the role
THE COMPANY:
Our client is a leading world-wide broker; they are based in the City with a Global presence. They are looking for Surveillance Associate with strong knowledge and experience of the LME.
THE RESPONSIBILITIES:
- Reviewing and analysing surveillance alerts and/or reports relating to firm and client trading activity
- Reviewing and analysing e-communication surveillance alerts and/or reports
- Properly documenting the review and resolution of the exceptions as well as escalating matters appropriately
- Communicating surveillance findings to management in a clear and concise manner
- Assisting with trade surveillance alert calibration assessments
- Assisting in the Firm’s response to enquiries received from exchanges and regulators.
- Preparing relevant MI for senior management
- Conducting monitoring reviews from the Compliance Monitoring Plan
EXPERIENCE REQUIRED:
- Strong knowledge and experience of the LME contract characteristics and market structure, including LME rules and regulations.
- Experience of reviewing and processing automated surveillance alerts (NASDAQ Smarts beneficial) relating to market abuse and financial crime risks, including clear and concise escalations
- Understanding of key exchange principles and rules relating to trade negotiation, execution and off-order book transactions.
- Clear understanding of Market Abuse Regulation and how it is relevant to an LME and commodity derivatives broker.
For further information please contact Hannah Tabatabai
Reference: https://www.complianceprofessionals.co.uk/?post_type=job_listing&p=70234 · Posted 3 days ago · Closes 6 Dec 2026 · Listed via Compliance Professionals
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