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Compliance Surveillance

Full Time
Greater London
04-01-2022 12:01 PM

Our client is a leading financial services firm providing investment banking services to a diverse client base

A Compliance Surveillance advisor is sought to conduct trade surveillance and compliance monitoring and testing for the Financial Markets division

Main Responsibilities:

·Perform real time and post trade surveillance of securities and financial instruments transactions

·Monitor employee business conduct including voice and electronic communications and marketing material.

·Identify, manage and escalate potential regulatory failures and risks. Determine corresponding action plans and solutions.

·Ensure the maintenance and improvement of an appropriate control environment to manage and mitigate regulatory risk associated with algorithmic and electronic trading. Work with all business units and internal partners to pro-actively identify key regulatory risk exposures and develop appropriate controls to manage and mitigate these risks.

·Update the compliance programme policies and procedures on an ongoing basis to account for changes in regulation and new business; Optimize the effectiveness and the efficiency of the compliance monitoring programme by reengineering the compliance processes and enhancing the compliance tools and surveillance systems.

·Conduct internal reviews and investigations and respond to regulatory enquiries and examinations.

·Prepare and present quarterly trade desk review reports and dashboards.

·Perform a regulatory watch and participate in deploying new regulatory projects.

·Provide advice to the business line regarding trade conduct compliance. Review new products and activities to ensure that new initiatives are delivered in compliance with regulatory obligations.

·Develop training and education programs to front line employees and support functions.

Skills and Experience:

·6 years of relevant experience with a UK/EU Investment Dealer, Regulatory agency or Risk Advisory practice

·Good knowledge of UK/EU/Asian trade conduct compliance rules and regulations

·Knowledge of international trade conduct compliance rules and regulations desirable but not essential

·Good knowledge of business operations, as well as compliance surveillance systems and software

·Good programming skills

·Excellent analytical, organizational and communication skills; Attention to detail and thoroughness

·Ability to adapt quickly to change in a fast-paced environment, manage multiple priorities with a strong problem-solving ability

·A strong team player, conscientious collaborator and committed to performance

Please contact Fergus Hooley in complete confidence to discuss further , or apply online

Fergus Hooley


07425 325267