VP Compliance Surveillance

Recruiter
Pure Search
Location
London (Greater)
Posted
21 Apr 2019
Closes
26 Apr 2019
Sector
Legal
Contract Type
Permanent
Hours
Full Time
A leading Corporate & Investment bank are looking to strengthen their compliance team with the addition of a Compliance Surveillance Officer (VP). The role will oversee the front office monitoring and surveillance compliance activities for the bank. The successful candidate will need to have a strong understanding of trade and communication surveillance techniques alongside experience in communicating with the sales and trading business. Exposure across traded products including Fixed Income, Equities, Rates and FX with broader derivative financial products a benefit. Responsibilities include: Oversight and developing 2LOD surveillance and monitoring across the market's product suite; Equities, Fixed Income, FX, Derivatives and Market Abuse Prevention Conducting surveillance assurance programs across the banking arm to identify the regulatory risks of the business. Conduct Daily analysis of automated surveillance alerts, whilst identifying and escalating any potential breaches of regulation and internal policies. For more information please contact

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