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- Tasks: Monitor trading activities and ensure compliance with regulations daily.
- Company: Join a leading global investment bank focused on market surveillance.
- Benefits: Enjoy competitive pay, potential remote work, and professional development opportunities.
- Why this job: Be part of a dynamic team tackling market abuse and enhancing financial integrity.
- Qualifications: Experience in financial services surveillance, especially equities, is essential.
- Other info: Contact the compliance team for more details or to apply.
The predicted salary is between 43200 - 72000 £ per year.
Our client is a global investment bank, who are seeking a compliance professional to take on a position in the firm’s markets surveillance function.
Your responsibilities will include:
- Assist in performing daily surveillance of trading to ensure compliance with relevant regulations
- Investigating potential instances of market abuse and rule breaches and producing detailed reports highlighting the abusive behaviour
- Playing an important part in the delivery of a variety of initiatives across surveillance, i.e. system testing and implementation
- Helping improve current systems and processes
- Being the point of contact for policies and procedures that impact the surveillance space
- Producing and analysing reports
As a successful applicant you will have:
- Demonstrated experience in the surveillance function of a financial services firm, preferably with experience of the equities markets
- A working knowledge of the relevant FCA rules and regulations
- Experience in surveillance project delivery
- Strong attention to detail
- Excellent communication skills both verbal and written
For more information or to apply, please contact the compliance team on 020 33015821 or ben.hudson@blackswangroup.com
Surveillance Officer employer: Black Swan Group
Contact Detail:
Black Swan Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Surveillance Officer
✨Tip Number 1
Familiarise yourself with the latest FCA rules and regulations. This knowledge will not only help you in interviews but also demonstrate your commitment to compliance and your understanding of the industry.
✨Tip Number 2
Network with professionals in the financial services sector, especially those involved in surveillance. Attend industry events or join relevant online forums to gain insights and make connections that could lead to job opportunities.
✨Tip Number 3
Prepare for potential interview questions by reviewing common scenarios related to market abuse and compliance breaches. Being able to discuss real-life examples will showcase your expertise and problem-solving skills.
✨Tip Number 4
Stay updated on current trends and technologies in surveillance systems. Understanding how new tools can enhance compliance processes will position you as a forward-thinking candidate who can contribute to improving existing systems.
We think you need these skills to ace Surveillance Officer
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Surveillance Officer. Familiarise yourself with market surveillance, compliance regulations, and the specific requirements mentioned in the job description.
Tailor Your CV: Highlight your relevant experience in the surveillance function, particularly within financial services. Emphasise your knowledge of FCA rules and any project delivery experience you have. Make sure to align your skills with the job requirements.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your passion for compliance and surveillance. Mention specific examples from your past experiences that demonstrate your attention to detail and communication skills.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter. Check for any grammatical errors or typos, as these can create a negative impression. A polished application reflects your professionalism and attention to detail.
How to prepare for a job interview at Black Swan Group
✨Know Your Regulations
Familiarise yourself with the relevant FCA rules and regulations before the interview. Being able to discuss these confidently will show your understanding of the compliance landscape and demonstrate your suitability for the role.
✨Showcase Your Experience
Prepare specific examples from your past experience in surveillance, particularly within financial services. Highlight any instances where you successfully identified market abuse or contributed to project delivery, as this will illustrate your practical knowledge.
✨Attention to Detail is Key
Since the role requires strong attention to detail, be ready to discuss how you ensure accuracy in your work. You might want to share techniques you use to maintain precision when analysing reports or conducting investigations.
✨Communicate Effectively
Practice articulating your thoughts clearly and concisely. Given the importance of communication in this role, consider preparing a few key points about your approach to collaboration and how you handle complex information in both verbal and written formats.
