Monitoring & Surveillance Compliance Officer
The successful financial services- Monitoring & Surveillance Compliance Officer will assist in the delivery of the annual Compliance monitoring plan (to includeMiFiD II & Market Abuse Directive) in London.
The officer will carry out daily post trade surveillance monitoring on a timely basis to identify activity which may indicate possible market abuse or market integrity issues.
The client is a very interesting Brokerage firm and subsidiary of a well known Investment Bank
Based in London
The key responsibilities of the Monitoring & Surveillance Compliance Officer will be:
- Conduct monitoring of E-communications (Voice, BBERG, Email) and Information Security Monitoring.
- Assist in the delivery of the annual Compliance monitoring plan (to include MiFiD II, Market Abuse Directive).
- Undertake daily post trade surveillance monitoring on a timely basis to identify activity which may indicate possible market abuse or market integrity issues, ensuring that all analysis is completed to the highest standard and is appropriately documented.
- Escalate possible market abuse and market integrity issues to the Head of Surveillance and, where required, draft and submit Suspicious Transaction Reports to the FCA. Conduct Compliance risk based desk and thematic reviews to deliver independent recommendations to business heads.
- Recommend enhancements to existing processes and develop new processes for identifying and monitoring Compliance and Conduct risk.
- Liaison with the business to address substantive matters arising and escalation and presentation of significant issues.
- Preparation of management information and reporting.
- Review of relevant procedures, systems and controls.
- Develop and maintain a proactive relationship with front office.
- Ad hoc investigations & projects as directed.
The successful financial services- Monitoring & Surveillance Compliance Officer
- FCA, MIFID II , MAR knowledge . Good communication skills and report writing
- Will have a strong working knowledge of Audit, Compliance Monitoring or Market Surveillance within Investment Banking/ Financial services
- Good investigative and analytical skills - enquiry, analysis, interviewing, testing
- Degree Educated
- Based in London
This job was originally posted as www.totaljobs.com/job/79052492