Compliance Surveillance Associate (Markets)

Robert Walters Plc
London (Greater)
11 Jan 2018
10 Feb 2018
Contract Type
Full Time

A large multinational investment bank is looking for a Compliance Surveillance professional to join their London Compliance Team as Compliance Surveillance Associate (Markets). They are looking for someone with 1-2 years knowledge within Surveillance/Reg compliance risk control, preferably within a public markets context.

Compliance Surveillance Associate (Markets) key responsibilities:

  • Carry out testing and monitoring work with the aim of identifying any attempt by clients of members of staff of the firm to commit financial crime, market abuse, manipulation, or other breach of rules or regulations.
  • Complete the regular and ad-hoc tasks necessary to complete the reviews, monitoring, testing and/or surveillance and other work which makes up the department?s risk based testing programme.
  • Assist in the creation and maintenance of documents and procedures to track all relevant surveillance processes.

Compliance Surveillance Associate (Markets) experience:

  • Basic to intermediate understanding of one or more of the following business or product areas - Equities, FX, Benchmarks (eg Libor and WMR), Fixed Income & Rates.
  • Basic to intermediate understanding of regulatory and compliance risk frameworks and risk based testing.
  • Experience of building relationships with the Front Office and escalation of issues.

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