THE COMPANY:
Our client is a leading world-wide broker; they are based in the City with a vast Global presence. This role will report to the Deputy Head of Compliance.
THE RESPONSIBILITIES:
- Reviewing and analysing surveillance alerts and/or reports relating to firm and client order and/or trading activity
- Reviewing and analysing e-communication surveillance alerts and/or reports
- Reviewing telephone communications
- Properly documenting the review and resolution of the exceptions as well as escalating matters appropriately
- Communicating surveillance findings to management in a clear and concise manner
- Assisting with trade surveillance alert calibration assessments
- Carrying out manual monitoring tasks
- Assisting in the Firm’s response to enquiries received from exchanges and regulators
- Reviewing trading error reports
- Monitoring staff’s Personal Account Dealing activity
- Preparing relevant MI for senior management
- Conducting monitoring reviews from the Compliance Monitoring Plan
- Delivering training to front office on market conduct
- Updating compliance policies and procedures
EXPERIENCE REQUIRED:
- The ability to work extremely accurately, thoroughly, reliably and with attention to detail
- Strong communication skills
- Experience reviewing and processing surveillance alerts utilising surveillance
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Surveillance Associate in London employer: Compliance Professionals
As a leading private bank in the UK, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee development and well-being. Our commitment to compliance excellence not only ensures a rewarding career path for our Financial Crime Compliance Lead but also offers unique opportunities for professional growth through continuous training and mentorship. Join us to be part of a prestigious institution where your expertise in wealth management will be valued and your contributions will make a meaningful impact.
