CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
An Investment Management firm are looking to hire a Compliance Monitoring Officer to join their Monitoring & Surveillance function. The role is a Senior Analyst/Manager grade and we are keen to speak to people with surveillance/thematic monitoring experience, ideally within an investment management capacity.
Post trade monitoring using the surveillance system in order to detect cases of market abuse across all asset classes
Escalate transactions that are potentially suspicious and conduct investigations accordingly
Monitor both voice and electronic communications to ensure alignment with regulatory obligations
Carry out both thematic and desk based reviews in accordance with the compliance monitoring programme
Assist with audit visits and requests for information from the regulator
Successful candidates will have:
Good knowledge of Market Abuse rules and understanding of electronic trading
Experience undertaking thematic and desk based reviews (desirable)
Previous experience using the SMARTS system
Excellent communication skills both written and verbal