At a Glance
- Tasks: Enhance compliance monitoring and conduct surveillance to ensure regulatory adherence.
- Company: Join a leading securities business with a strong reputation in the industry.
- Benefits: Competitive salary, professional development, and a dynamic work environment.
- Other info: Opportunity to engage with key stakeholders and develop your career in finance.
- Why this job: Make a real impact by ensuring market integrity and compliance.
- Qualifications: Experience in compliance monitoring and strong knowledge of financial regulations.
The predicted salary is between 50000 - 70000 £ per year.
THE COMPANY: We are working with a great client of ours, a leading securities business, in their search for a Compliance Monitoring and Surveillance Officer.
THE RESPONSIBILITIES:
- Compliance Monitoring Plan (CMP): Maintain, enhance and execute a risk-based Compliance Monitoring Plan covering equity and fixed income sales and trading activities. Conduct thematic and periodic reviews across key risk areas. Document findings, assess root causes, and track remediation actions to completion. Regularly review and update the CMP to reflect regulatory developments and business changes. Update and enhance Compliance policies and procedures where monitoring outcomes identify a need for enhancements. Ensure relevant action is taken where training needs are identified during or as a result of the monitoring.
- Trade & Communications Surveillance: Perform ongoing surveillance of trading activity to identify potential market abuse (e.g., insider dealing, market manipulation) in line with Market Abuse Regulation (MAR). Monitor electronic communications (emails, chats, voice where applicable). Investigate alerts generated from surveillance systems and elevate issues where necessary. Calibrate and enhance surveillance scenarios and thresholds to improve effectiveness and reduce false positives.
- Monitoring & Testing: Conduct control testing to assess the effectiveness of compliance controls. Perform sample-based reviews of trades, client interactions, and transaction reporting to ensure regulatory compliance. Assess adherence to policies such as personal account dealing, gifts & entertainment, and information barriers.
- Regulatory Reporting & MI: Prepare clear, concise compliance monitoring reports for senior management and relevant governance committees. Produce management information (MI) and trend analysis to identify emerging risks and areas of concern. Support regulatory reporting obligations and assist with FCA queries, thematic reviews, and inspections.
- Advisory & Stakeholder Engagement: Provide compliance guidance to equity and fixed income sales and trading teams. Partner with Front Office to embed a strong conduct and compliance culture. Deliver training on surveillance, market conduct, and regulatory expectations.
EXPERIENCE REQUIRED:
- Experience in a compliance monitoring/market surveillance role within the financial services industry.
- Strong knowledge of relevant regulations including but not limited to Market Abuse Regulation (MAR); MiFID II / MiFIR; and FCA Handbook (e.g., SYSC, COBS).
- Demonstrable experience covering equity and fixed income products in an institutional sales and trading environment ideally.
- Familiarity with surveillance systems and alert handling processes.
- Strong analytical and investigative skills with attention to detail.
For further information please contact Natalie Eshelby.
Compliance Monitoring and Surveillance Officer employer: Compliance Professionals
Join a leading securities business that prioritises compliance and integrity, offering a dynamic work environment in the heart of the financial district. With a strong commitment to employee development, you will have access to ongoing training and growth opportunities, ensuring you stay at the forefront of regulatory changes. Our collaborative culture fosters innovation and teamwork, making it an excellent place for professionals seeking meaningful and rewarding careers in compliance monitoring and surveillance.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Monitoring and Surveillance Officer
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Compliance Professionals looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Monitoring and Surveillance Officer
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Compliance Professionals. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Compliance Professionals
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Compliance Professionals’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
