Compliance Monitoring and Surveillance officer

Recruiter
Goodman Masson
Location
Farringdon
Posted
10 Feb 2018
Closes
15 Feb 2018
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time

Compliance Monitoring and Surveillance officer

A boutique Investment bank is looking for someone to join their compliance team to focus across compliance monitoring and surveillance, however this is a small and collegiate team so they are looking for someone who will also get involved in wider compliance activities. They are specifically looking for someone with compliance monitoring or surveillance background in relation to sell side products.

Role profile

  • An opportunity to join a high performing and collegiate compliance team at a leading independent UK investment bank
  • Take the lead role in a team of two focused on Compliance Monitoring and Surveillance (excluding AML and Financial Crime)
  • Maintain and develop the risk based Compliance Monitoring Programme ("CMP")
  • Execute such monitoring and surveillance tasks as detailed within the CMP in a timely manner
  • Assist the Deputy Head of Compliance and Risk Officer with such duties as he / she may direct

Responsibilities

  • Summary of main tasks and responsibilities
  • Maintain the CMP, updating the status as required of the tasks therein.
  • Pro-actively develop the surveillance and monitoring programme in response to new regulation and business developments
  • Execute such monitoring and surveillance tasks, detailed within the CMP, as required including but not limited to:
  • Evaluate alerts from automated surveillance systems for potential market abuse and best execution
  • Escalate (as appropriate) events of concern including; potential breaches of internal policies and procedures and possible acts of market abuse
  • Raise STORs (including for peer review) as appropriate
  • Become an expert user of firms' automated surveillance systems, escalating perceived shortcomings and interacting with third party providers to secure solutions
  • Become familiar with firms' key information and communications systems including; Fidessa, Bloomberg, Internal Chat Rooms, Alpha Capture Systems and the firms' Customer Relationship Management System
  • Assist with PA Dealing approvals
  • Respond to broker questionnaires and other ad hoc client enquiries
  • Be responsible for all regulatory disclosures in accordance with DTR rules
  • Field Panel and Exchange Enquiries and maintain a log thereof
  • Keep a log and process long and short market maker exemptions provided by the FCA
  • Maintain and monitor the Compliance Watch List, escalating alerts as appropriate
  • Maintain and manage the internal restricted list, preparing new restricted notifications as appropriate
  • Work with large CMP data sets to create user friendly management information to feed into Board Reports etc.,
  • Assist with responding to regulatory enquiries
  • Assist with project work as required

Experience and skills required

  • Experience in a Compliance monitoring and / or surveillance role, preferably on the sell-side.
  • Strong and current working knowledge of FCA regulations and requirements relevant to an integrated sell-side organisation focused on equities
  • Clear, concise and accurate written skills
  • Professional telephone manner
  • Excellent inter-personal skills. Able to communicate clearly and effectively at all levels (both internally and externally)
  • Works effectively as part of a team in a fast-paced environment
  • Communicates complex issues clearly and effectively
  • Builds effective relationships between individuals, teams, lines of business and geographical/cultural boundaries
  • First class organisational skills, good attention to detail and accuracy
  • Works well under pressure and meet tight deadlines
  • Advanced knowledge of Microsoft Word, Excel and PowerPoint
  • Good presentation skills
  • Assist the team to actively promote and maintain the compliance culture within the organisation

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