At a Glance
- Tasks: Join a global team enhancing surveillance calibration and reporting methodologies.
- Company: Dynamic financial services firm with a focus on compliance and innovation.
- Benefits: Competitive salary, diverse work environment, and opportunities for professional growth.
- Other info: Collaborate with global teams and engage with senior management regularly.
- Why this job: Make a real impact in compliance while working with cutting-edge technology.
- Qualifications: Experience in surveillance activities and strong knowledge of regulatory requirements.
The predicted salary is between 50000 - 70000 £ per year.
Be a part of a global team that is responsible for developing, enhancing and maintaining the framework and methodologies relating to surveillance calibration, validation and optimization, analytics and reporting.
Execution of standards for surveillance scenario calibration, validation, optimization, analytics and reporting.
Responsible for performing scenario calibration and re‐calibration employing statistical analysis and other quantitative measurements to improve the effectiveness and efficiency of surveillance alerts.
Perform validation and effectiveness reviews of various trade surveillances that involves an assessment of business specifications, regulatory coverage, product coverage, design implementation, etc.
Coordinate with Regional Heads of Surveillance and Regional Surveillance Leads to review quantitative output from calibrations and effectiveness reviews and to overlay qualitative elements to optimize scenarios and improve alert productivity.
Responsible for conceiving and developing (or working with Technology to develop) Surveillance metric dashboards and reporting packs for internal (Surveillance team) and external publication that involves performance, operational and risk metrics.
Contribute to the continuous improvement of the operating model for surveillance calibration, validation, optimization, analytics and reporting.
Identify areas of improvement based on the calibration and validation findings and other key inputs.
What program/technology/software knowledge is essential for this role?
- Nasdaq NTS (Smarts) - Calibration Implementation Workbench (essential)
- General Office Suite
- KX (First Derivatives)
- Trading Hub
Must have:
- Experience performing and/or supporting surveillance activities for institutional sales and trading businesses
- Strong subject matter expertise on market abuse and strong technical knowledge of wealth management regulatory requirements
- Strong knowledge of industry best practice relating to surveillance techniques and methodology
- Experience working in a global organization with global teams across multiple regions, large and complex initiatives
- Experience and communication skills necessary to interact regularly with senior management within Compliance and the business
- Experience with effectively interacting and communicating surveillance standards and approach with internal auditors and external parties including regulators is a plus
Compliance officer- Surveillance Calibration/ reporting in London employer: NCSL International
Join a dynamic global team dedicated to enhancing surveillance calibration and reporting methodologies in a collaborative and innovative environment. Our company prioritises employee growth through continuous learning opportunities and offers a supportive work culture that values diversity and inclusion. Located in the UK, we provide a unique chance to engage with senior management and contribute to meaningful projects that shape industry standards.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance officer- Surveillance Calibration/ reporting in London
✨Tip Number 1
Network like a pro! Reach out to folks in the compliance and surveillance field on LinkedIn. Join relevant groups and participate in discussions to get your name out there and show off your expertise.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of market abuse regulations and surveillance techniques. We recommend practising common interview questions and having examples ready that showcase your experience in calibration and validation.
✨Tip Number 3
Don’t just wait for job openings to pop up! Keep an eye on our website and apply directly through us. This way, you can stay updated on new roles and make sure your application gets noticed.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Use this opportunity to reiterate your interest in the role and highlight how your skills align with their needs.
We think you need these skills to ace Compliance officer- Surveillance Calibration/ reporting in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV speaks directly to the role of Compliance Officer. Highlight your experience with surveillance calibration and any relevant statistical analysis skills. We want to see how your background aligns with our needs!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and surveillance. Share specific examples of your past work that relate to the job description, and let us know how you can contribute to our global team.
Showcase Your Technical Skills:Don’t forget to mention your familiarity with essential tools like Nasdaq NTS and KX. If you've worked with surveillance metrics or dashboards, make sure to include that too. We love seeing candidates who are tech-savvy and ready to hit the ground running!
Apply Through Our Website:We encourage you to apply through our website for a smoother application process. It helps us keep everything organised and ensures your application gets the attention it deserves. Plus, it’s super easy!
How to prepare for a job interview at NCSL International
✨Know Your Stuff
Make sure you brush up on your knowledge of surveillance calibration and reporting methodologies. Familiarise yourself with Nasdaq NTS (Smarts) and KX, as well as the regulatory requirements in wealth management. Being able to discuss these topics confidently will show that you're serious about the role.
✨Showcase Your Analytical Skills
Prepare to discuss your experience with statistical analysis and quantitative measurements. Think of specific examples where you've improved surveillance alerts or optimised scenarios. This will demonstrate your ability to contribute to the continuous improvement of the operating model.
✨Communicate Effectively
Since this role involves interacting with senior management and external parties, practice articulating complex ideas clearly and concisely. You might want to prepare a few scenarios where you've successfully communicated surveillance standards or worked with auditors, as this will highlight your communication skills.
✨Be a Team Player
This position requires coordination with various regional heads and teams. Be ready to discuss how you've collaborated on large initiatives in the past. Highlight your experience working in global organisations and how you’ve managed to bring together diverse teams to achieve common goals.
