BNY Mellon Careers

Newton, Senior Surveillance Officer (12 month FTC)

London, United Kingdom
Asset Management

Job Description

Newton Investment Management Limited is an active investment management firm, using thematic ideas about the long-term investment landscape to create and manage strategies that help secure clients’ futures. Newton thinks on a global basis, with its single London-based investment team working collaboratively across asset classes and regions. The firm builds bold solutions, designed to meet the real-world challenges clients face, and the team manage them responsibly in the broadest sense – through embedding environmental, social and governance considerations, and engaging on issues that affect their clients. Those clients are based around the world, and include pension funds, corporations and charities and, via Newton’s parent company BNY Mellon, individuals.


With offices in London and New York, Newton has £55bn (as at 30 September 2017) under management, including assets managed by Newton Investment Management Limited as dual officers of Newton Capital Management Limited and The Bank of New York Mellon. News and other information about Newton is available at and via Twitter: @NewtonIM


Newton employees are bright, inquisitive, thoughtful and collaborative. They are highly motivated to deliver performance and service to clients.  Newton prides itself on being an employer of choice, with a flexible working environment and a commitment to diversity and opportunity among its employees. 


Newton is a professional, friendly and collegiate place to work. The firm looks to attract individuals who are keen to work as part of a team, in a meritocratic environment, and who are driven to help make the organisation a great place to work. 


Job Purpose:

To facilitate Newton's investment process by providing advice, support and oversight for the first line of defence through investment related systems, controls and surveillance at the house level.


Job Responsibilities:

As well as being able to assist the team in the regular work carried out by Investment Control, the successful candidate would focus on the below:

  • Providing leadership in the area of front office surveillance and oversight

  • Conduct, oversee and analyse periodic reviews of the investment process as required, including but not limited to; order execution, potential market abuse, trade aggregation and allocation, e-mail and telephone.

  • Provide data, reports, analysis and management information to senior management/committees/groups/sub-groups in the governance structure as required.

  • Provide management with or develop, alongside the Business Intelligence Team, appropriate reporting as required

  • Write, disseminate and maintain documented processes for tasks as well as house and team documentation as required

  • Chair and/or be a member of committees/groups/sub-groups in the governance structure as required







  • Ideally degree level qualification.
  • Industry compliance qualifications.


Technical Competence:

  • Experience in providing reporting to committees and senior management

  • Experience of transaction surveillance processes

  • Excellent knowledge of global compliance requirements relating to asset management sector


Business Experience:

  • A good knowledge of asset management, particularly of portfolio management, equity, fixed income, derivatives and FX broking / trading activities
  • A proven track record, gained within a comparable securities environment, of the ability to understand and interpret local regulatory requirements, perhaps from working in control or compliance team.
  • Multiple years’ experience gained in a similar role implementing and executing a surveillance process.
  • Knowledge of the common market tools associated with transaction surveillance.


Key Competencies and skills:

  • Strong analytical skills, detail focussed.
  • Ability to influence across peer groups.
  • Ability to think pragmatically and proactively suggest solutions.
  • Team player and flexible in a fast paced environment.
  • Strong relationship management skills.
  • Articulate and able to represent Investment Control to senior business personnel effectively.


For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark:

As one of the world's leading investment management organizations and one of the top U.S. wealth managers, BNY Mellon Investment Management combines agility, insight and scale to create and deliver strategies and solutions to address our clients' needs. Encompassing BNY Mellon's investment management firms, wealth management organization and global distribution teams, we draw on deep expertise to collaborate with clients and tailor our best ideas and resources to meet their specific needs. We pride ourselves on providing dedicated service through our network of global professionals who have a deep understanding of local requirements. With our extensive experience in anticipating and responding to the investment and financial needs of the world's governments, pension plan sponsors, corporations, foundations, endowments, advisors, intermediaries, individuals and families, and family offices, BNY Mellon Investment Management is dedicated to helping clients reach their goals.

BNY Mellon is an Equal Employment Opportunity Employer.

Primary Location: United Kingdom-Greater London-London
Job: Asset Management
Internal Jobcode: 50345
Organization: Newton-HR06148
Requisition Number: 1800570

Tags: EFC:EMEA:2-1