THE COMPANY:
Our client is a successful brokerage firm based in the City. They are looking to hire a Surveillance Officer to assist with performing trade surveillance, monitoring of voice and electronic communications relating to the organisation's trading and broking activities.
THE RESPONSIBILITIES:
- Review and actioning (escalation or closure) of daily market surveillance alerts and electronic communications
- identify suspicious behaviour that could be indicative of market abuse, insider trading, financial crime or inappropriate market conduct.
- Calibration and tailoring of monitoring systems, including testing to reduce false positives
- Producing timely, accurate and reliable MI on surveillance activity
- Assisting with enquiries, regulatory engagements or other enquiries relating to the firm's market abuse framework and monitoring framework;
- Assisting with the annual market abuse risk assessment (MARA) and Compliance Risk Assessment
- Reviewing policies and procedures relating to market abuse and electronic communications and Compliance monitoring.
- Preparing training material for staff relating to market abuse, market conduct and financial crime.
- Assisting with technical enhancements relating to compliance monitoring software
- Implementing system changes arising from changes to applicable regulations
- Escalating and investigating exceptions and incidents
- Prepare material relating to STOR or SAR notifications
- Assisting with wider Compliance and AML activities
EXPERIENCE REQUIRED:
- Experience of having worked in market surveillance or compliance monitoring function.
- An interest in financial markets, data analysis, and compliance.
- Willingness to develop and enhance their knowledge of the technical aspects of market surveillance.
- Team player, ability to work flexibly and tenacity.
- Strong report writing and documentation skills.
For further information please contact Natalie Eshelby
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Surveillance Officer 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.
