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Compliance Monitoring & Surveillance Officer - Boutique Investment Bank and Corporate Broker

Job Title: Compliance Monitoring & Surveillance Officer - Boutique Investment Bank and Corporate Broker
Contract Type: Permanent
Location: East-Central London
Industry:
Salary: £35,000
Reference: CGV-18069
Contact Email: j.boxall@austinandrew.co.uk
Job Published: October 12, 2016 17:53

Job Description

I am currently working on an exciting opportunity for a compliance monitoring and surveillance officer to join a growing boutique investment bank and corporate broker based in the City of London in luxurious offices. The compliance team is very well respected within the bank and they have a very high staff retention rate which is representative of the firm's excellent culture.

You will be responsible for the general maintenance of the compliance monitoring and surveillance programme on a day to day basis. You will be expected to monitor and evaluate surveillance alerts and escalate these if necessary. You will oversee PA dealing within the bank and also respond to broker queries in relation to the surveillance systems in the bank.

You will ideally have previous experience in an investment banking or broking environment in a monitoring and surveillance capacity. You will be confident when speaking with senior stakeholders and you will have a strong and up to date knowledge of the FCA handbook. The salary on offer is between £30k-£35k plus excellent benefits. All CVs and enquiries to James Boxall at Austin Andrew. j.boxall@austinandrew.co.uk