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Compliance Monitoring & Surveillance Officer - Boutique Investment Bank

Job Title: Compliance Monitoring & Surveillance Officer - Boutique Investment Bank
Contract Type: Permanent
Location: East-Central London
Salary: £55,000
Reference: CGV-17926
Contact Email:
Job Published: May 12, 2016 20:09

Job Description

I am currently partnering with a leading Boutique Investment Bank and Corporate Broker based in the heart of the City of London in order to recruit TWO Monitoring and Surveillance compliance professionals. This is a fantastic and rare opportunity to join a bank that is competing with the Bulge Brackets and growing, despite market turmoil. The firm boasts a very low staff turnover rate and an excellent working culture.

• Update, maintain and implement a robust Compliance Monitoring Plan
• Carry out general surveillance tasks such as the evaluation of alerts and escalation of these alerts as appropriate.
• Assist with PA dealing
• Respond to compliance queries and questions from bank-wide members of staff
• Maintain and monitor the Compliance Watch List
• Interaction with Senior Management

• Previous Monitoring and Surveillance experience within an investment bank, corporate broker or similar
• Excellent and in-depth working knowledge of the FCA handbook
• Ability to maintain professionalism
• Strong relationship management skills
• Strong communicator

The salary for these roles is flexible however the range is likely to be between £35k-£55k with an excellent overall package. This is an excellent opportunity that can lead to a very successful career within Compliance. All CVs and enquiries to James Boxall at Austin Andrew.