Assistant Manager, Regulatory Surveillance

London (Central), London (Greater)
17 May 2017
14 Jun 2017
Contract Type
Full Time

A leading Global Financial Institution is seeking to employ an Assistant Manager, Regulatory Surveillance, based in London

Hours 35 per week/permanent.

Competitive salary offered.

This role will expand and improve the firm’s e-comms surveillance coverage through GECS (Group Electronic Surveillance) within the global cross business lines. The role will include assisting in managing the E-surveillance activity in accordance with the surveillance development plan and in accordance with the relevant processes and procedures with a view to expanding and improving existing coverage. The role includes identifying potential and actual market conduct breaches and to test the adequacy of controls in place within the business. The role holder will need to escalate regulatory breaches to business and Compliance Senior Management in order that appropriate action can be undertaken to rectify. The role also includes assisting with deployment of additional e-communication platforms and policies into GECS, assisting in the timely review of policy lexicons and subsequent alert production and complete quality control of the escalation reviews by the Surveillance team. The individual will perform User Acceptance Testing (UAT) of new automated surveillance tests and providing detailed analysis and test scripts. They will coordinate or produce regular MI reports to key internal stakeholders including analysis of the MI.


The successful candidate will be a graduate and will have the following:

  • A sound understanding of the new Market Abuse Regulation (MAR) and overseas regulations
  • Strong analytical skills and ability to support decisions with sound reasoning. Ability to clearly articulate business and regulatory implications of analysis and findings.
  • Strong interpersonal skills with the ability to communicate effectively with both Compliance and Business Management.


Closing dates for applications: 14th June 2017

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