Surveillance Compliance Officer (contract)

Recruiter
Nomura
Location
London (Greater)
Posted
23 Mar 2019
Closes
27 Mar 2019
Sector
Legal
Contract Type
Permanent
Hours
Full Time
Summary Assist in developing and maintaining a risk-based surveillance programme covering trade, Electronic Comms and Audio Comms surveillance, which addresses relevant regulatory and exchange requirements. The role will support the surveillance remediation programme. Role Definition and General Responsibilities This role will provide an appropriate level of support to the EMEA Head of Financial Crime and the various teams/colleagues within the Compliance function for the following: Lead an internal remediation programme following an independent review of our surveillance capabilities including the risk assessment; surveillance alerting logic and effectiveness testing; MI; lexicon improvements and policy; Enhancement of the surveillance framework, including governance, quality assurance, models, risk assessment, procedural, MI and training; Identify key areas or risk and ensure that surveillance functionality is properly aligned to the business; Assist in regulatory or internal investigations as required; Work with Compliance IT to support the development and implementation of IT changes; Consider new or enhanced monitoring and surveillance activities that address the changing business structure and ensure that a robust approach is taken to mitigate business risk; and Manage programme deliverables and provide relevant Management Information, working with the wider project team, to ensure progress is made in line with agreed plans. Skills & Resources Maintain a working knowledge of key EU /UK regulatory rules and regulations as well as a broad awareness of capital markets activities; Possess a good technical understanding of key trade and comms surveillance systems; Understand the firm's business, products and the regulatory and commercial environment in which it operates to ensure that appropriate compliance processes are implemented; Adopt a structured approach to problem solving; Possess a good understanding of data management; Possess prior experience in delivering change initiatives; and Good stakeholder management skills. Candidate Profile Candidate should have demonstrable surveillance experience, both audio and electronic communications; Project management/change experience; Good understanding of the Market Abuse Regulations; Ideally the candidate should have previous experience of using surveillance systems such as SMARTS, Clearwell or Dataminder; and Good presentation and report writing skills.

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