Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Monitor trading activity and enhance compliance programmes.
- Company: Join a leading investment management firm in London focused on compliance excellence.
- Benefits: Enjoy a collaborative work environment with opportunities for professional growth.
- Why this job: Make a real impact in financial compliance while working with a dedicated team.
- Qualifications: Bachelor's degree in Finance, Economics, or Law; experience in surveillance is essential.
- Other info: Ideal for those passionate about regulatory adherence and ethical practices.
The predicted salary is between 43200 - 72000 £ per year.
Overview
Recruiting Compliance, Legal, and Risk Professionals in London
Company Overview: Our client is an investment management firm based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are currently seeking a Compliance Manager to join their Compliance team and contribute to the success and growth of the firm.
Role Overview
As a Compliance Manager, you will play a crucial role in maintaining and enhancing the firm\’s compliance programme, with a specific focus on surveillance. You will report to the Head of Compliance and will be part of a small team. The ideal candidate will have an understanding of financial regulations, be able to analyse complex compliance issues, and effectively communicate with stakeholders at all levels.
Responsibilities
- Monitor trading activity to detect potential market abuse
- Maintain working knowledge of regulatory frameworks
- Lead on annual market conduct review and risk assessment
- Support the wall crossing approvals process
- Creating, managing, and enhancing policies and procedures
- Train compliance officers on surveillance procedures
- Maintain and review conduct requirements in the compliance monitoring programme
- Ad hoc project work
Requirements
- Bachelor\\\’s degree in Finance, Economics, Law, or a related field.
- Substantial experience at an investment bank, broker, exchange, or investment manager mostly in a surveillance function
- Strong knowledge of UK financial regulations and industry best practices.
- Excellent analytical and problem-solving skills with high attention to detail.
- Ability to communicate complex compliance issues clearly and effectively to diverse stakeholders.
If you believe you have the skills and experience to excel in this role and contribute to the firm’s continued success, we encourage you to apply.
For more details, please contact Jon Pettet at jon.pettet@blackswangroup.com
#J-18808-Ljbffr
Compliance Manager - Trade Surveillance employer: Black Swan Group
Contact Detail:
Black Swan Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager - Trade Surveillance
✨Tip Number 1
Familiarise yourself with the latest UK financial regulations and compliance frameworks. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the investment management sector, especially those working in compliance roles. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in trade surveillance.
✨Tip Number 3
Prepare to discuss specific examples of how you've handled compliance issues in the past. Think about situations where you successfully identified and resolved potential market abuse or improved compliance processes, as these will showcase your analytical skills.
✨Tip Number 4
Research the company’s culture and values. Understanding their approach to compliance and ethical practices will allow you to tailor your responses during interviews and show that you align with their mission and goals.
We think you need these skills to ace Compliance Manager - Trade Surveillance
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Manager in Trade Surveillance. Familiarise yourself with the key tasks mentioned in the job description and think about how your experience aligns with them.
Tailor Your CV: Customise your CV to highlight relevant experience in compliance, particularly in surveillance functions. Emphasise your knowledge of UK financial regulations and any specific achievements that demonstrate your analytical skills and attention to detail.
Craft a Compelling Cover Letter: Write a cover letter that not only outlines your qualifications but also conveys your passion for compliance and regulatory adherence. Use specific examples from your past roles to illustrate how you can contribute to the firm's compliance programme.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no spelling or grammatical errors, as attention to detail is crucial in compliance roles. A polished application reflects your professionalism and commitment.
How to prepare for a job interview at Black Swan Group
✨Know Your Regulations
Make sure you have a solid understanding of UK financial regulations and industry best practices. Brush up on recent changes and be prepared to discuss how they impact compliance and surveillance.
✨Demonstrate Analytical Skills
Be ready to showcase your analytical and problem-solving skills. Prepare examples from your past experience where you successfully identified and resolved compliance issues, particularly in a surveillance context.
✨Communicate Clearly
Practice explaining complex compliance concepts in simple terms. You may need to communicate with stakeholders at various levels, so being able to articulate your thoughts clearly is crucial.
✨Showcase Team Collaboration
As part of a small team, collaboration is key. Be prepared to discuss how you've worked effectively with others in previous roles, especially in training or leading compliance initiatives.
