Trade Surveillance - Associate at Capco

UK - Glasgow Full-timeFinance Risk & CompliancePosted 22 days ago

About the Role

Location: Glasgow (Hybrid) | Practice Area: Capital Markets | Type: Permanent Strengthen market integrity through robust surveillance and regulatory excellence. The Role As a Communication Surveillance Analyst within our Finance, Risk, Regulatory & Financial Crime (FRRF) capability, you will support investment banking clients in meeting regulatory expectations and maintaining effective conduct risk frameworks. You will play a key role in monitoring electronic and voice communications, identifying potential market abuse or misconduct, and enhancing surveillance frameworks across Capital Markets environments. This hybrid role is based in Glasgow, combining on-site collaboration with flexible remote working. What You’ll Do <ul> <li data-start="806" data-end="949">Conduct surveillance of electronic communications (email, chat, voice) to identify potential market abuse, misconduct, or regulatory breaches</li> <li data-start="806" data-end="949">Review and escalate alerts in line with internal policies and regulatory requirements (e.g., MAR, MiFID II)</li> <li data-start="806" data-end="949">Document findings clearly and support investigations with accurate and timely reporting</li> <li data-start="806" data-end="949">Collaborate with Compliance, Legal, and Front Office stakeholders to enhance surveillance controls and processes</li> <li data-start="806" data-end="949">Contribute to ongoing optimisation of surveillance models, lexicons, and monitoring frameworks</li> </ul> What We’re Looking For <ul> <li data-start="1400" data-end="1539">Experience in Communication Surveillance, Trade Surveillance, or Conduct Risk within an Investment Banking or Capital Markets environment</li> <li data-start="1400" data-end="1539">Strong understanding of market abuse regulations and conduct risk frameworks</li> <li data-start="1400" data-end="1539">Ability to analyse large volumes of information with accuracy and sound judgement</li> <li data-start="1400" data-end="1539">Clear written and verbal communication skills, with the ability to present findings objectively</li> <li data-start="1400" data-end="1539">Proactive approach to process improvement and control enhancement</li> </ul> Bonus Points For <ul> <li data-start="1901" data-end="2011">Experience working with surveillance tools such as NICE Actimize, Smarsh, Global Relay, or similar platforms</li> <li data-start="1901" data-end="2011">Exposure to regulatory remediation or transformation programmes</li> <li data-start="1901" data-end="2011">Knowledge of trade lifecycle processes across asset classes</li> <li data-start="1901" data-end="2011">Familiarity with data analytics tools to support surveillance activities</li> <li data-start="1901" data-end="2011">Experience operating within a consulting or client-facing environment</li> </ul> Why Join Capco <ul> <li data-start="2317" data-end="2393">Deliver high-impact technology solutions for Tier 1 financial institutions</li> <li data-start="2317" data-end="2393">Work in a collaborative, flat, and entrepreneurial consulting culture</li> <li data-start="2317" data-end="2393">Access continuous learning, training, and industry certifications</li> <li data-start="2317" data-end="2393">Be part of a team shaping the future of digital financial services</li> <li data-start="2317" data-end="2393">Help shape the future of digital transformation across FS & Energy.</li> </ul> We offer a competitive, people-first benefits package designed to support every aspect of your life: <ul> <li data-start="2984" data-end="3103">Core Benefits: Discretionary bonus, competitive pension, health insurance, life insurance and critical illness cover.</li> <li data-start="2984" data-end="3103">Mental Health: Easy access to CareFirst, Unmind, Aviva consultations, and in-house first aiders.</li> <li data-start="2984" data-end="3103">Family-Friendly: Maternity, adoption, shared parental leave, plus paid leave for sickness, pregnancy loss, fertility treatment, menopause, and bereavement.</li> <li data-start="2984" data-end="3103">Family Care: 8 complimentary backup care sessions for emergency childcare or elder care.</li> <li data-start="2984" data-end="3103">Holiday Flexibility: 5 weeks of annual leave with the option to buy or sell holiday days based on your needs.</li> <li data-start="2984" data-end="3103">Continuous Learning: Minimum 40 Hours of Training Annually — take your pick; workshops, certifications, e-learning. Business Coach assigned from Day One to provide one-on-one guidance and accelerate your development.</li> <li data-start="2984" data-end="3103">Healthcare Access: Convenient online GP services.</li> <li data-start="2984" data-end="3103">Extra Perks: Gympass (Wellhub), travel insurance, Tastecard, season ticket loans, Cycle to Work, and dental insurance.</li> </ul> Inclusion at Capco We’re committed to making our recruitment process accessible and straightforward for everyone. If you need any adjustments at any stage, just let us know – we’ll be happy to help. We value each person’s unique perspective and contribution. At Capco, we believe that being yourself is your greatest strength. Our #BeYourselfAtWork culture encourages individuality and collaboration – a mindset that shapes how we work with clients and each other every day. Use of Artificial Intelligence in Talent Acquisition At Capco, we use artificial intelligence (AI) tools to support and enhance several parts of talent acquisition. This includes using AI-enabled features within LinkedIn to help source potential candidates, speeding up routine recruitment communications such as emails, and creating compelling, brand-aligned job postings that accurately reflect role requirements. AI is also used in interview scheduling to improve efficiency. AI is used as a support tool only. All hiring decisions are made by talent acquisition and hiring teams.

About the Role

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