Compliance Monitoring Officer

Recruiter
Charles Levick Limited
Location
London, UK
Salary
Competitive
Posted
14 Jun 2019
Closes
18 Jun 2019
Ref
1181085505
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
My client is a London based Investment Bank, we are looking for a confident and driven compliance officer with strong monitoring/survellance experience within capital markets, also the role includes regulatory compliance duties such as advisory and policy writing.

Key Responsibilities:
* Support Head of Compliance to maintain and develop the compliance policy structure and procedures.
* Undertake the daily compliance trade monitoring and surveillance requirements
* Undertake the monitoring of other daily compliance requirements, including the best execution price checking and commission override exception report.
* Review reports, risk indicators and red flags to identify and propose remedial action to improve the control framework.
* Responsible for the submission to the exchanges, CCP's etc for client related information relating to Ownership & Control Reporting (OCR)
* Develop, implement and monitor regulatory compliance policies, procedures and internal controls.
* Implementing specific sections for the compliance monitoring plan.

This job was originally posted as www.totaljobs.com/job/86876073

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