Trade Surveillance, Futures Compliance

About the role

Citic CLSA is hiring a Trade Surveillance, Futures Compliance professional in London. The role monitors trading activity across LME and ICE Futures Europe products using Nasdaq SMARTS to detect potential market abuse and rule breaches. It involves analysing alerts with strong market insight, supporting escalation and regulatory reporting including STOR assessments under UK MAR, and contributing to surveillance enhancement through model calibration and data quality oversight.

Key responsibilities

• Perform daily market-abuse surveillance using Nasdaq SMARTS across LME and ICE Futures Europe products, reviewing alerts for signs of market manipulation, insider dealing and exchange rule breaches.
• Analyse alerts with sound judgement to distinguish genuine risk from false positives, applying knowledge of commodities market structure.
• Escalate suspicious activity following internal governance procedures, supporting Compliance with documentation, investigation summaries and input to STOR assessments under UK MAR.
• Review e-communications alerts (email, voice, chat) in coordination with trade alerts, looking for misuse of inside information or improper information sharing.
• Correlate trading behaviour with e-communications, market news, physical market events and position data, especially for intra-group and cross-border activity.
• Provide qualitative feedback on alert performance to support SMARTS calibration, back-testing and periodic reviews.
• Identify data quality, timeliness or completeness issues affecting surveillance and work with Technology, Operations or Compliance to resolve them.
• Maintain clear, regulator-ready case documentation and stay up to date with UK MAR, FCA Market Watch, exchange rules and internal policies.
• Collaborate with Compliance, Risk, Front Office supervision and outsourced surveillance teams, and support general compliance for derivative trading and clearing activities.

Required profile

• Bachelor's degree in Finance, Business, Law, Mathematics or Economics.
• At least 3 years' experience in financial services market abuse surveillance, preferably in commodities and financial derivatives.
• Demonstrable familiarity with surveillance systems such as Nasdaq SMARTS.
• Knowledge of FCA, exchange rules and industry practices for futures and derivative trading and clearing.
• Strong analytical and organisational skills, attention to detail, data handling skills and excellent verbal and written communication.