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Reed Talent Solutions

Communication Surveillance Officer - VP

Full-Time No home office possible

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Senior Talent Acquisition Specialist at Reed Talent Solutions

A global investment bank is currently recruiting for a Communications Surveillance Officer at VP level for a full time permanent position.

The role will be based in Liverpool street and will be offered hybrid with 3 days attendance required in the office.

This is an exciting opportunity to join the Business Compliance Monitoring Surveillance Team (BCMS) in London which is responsible for monitoring for Market Abuse through designing, implementing, monitoring and testing a transversal range of surveillance models. Appropriately escalating first level suspicious behaviours through transactions and orders is fundamental to the role.

The role requires experience in the management and analysis of data, as well as an understanding of financial and non-financial misconduct. Knowledge of Communication Surveillance is a requirement. The person should be familiar with regulatory and conduct issues which are relevant to monitoring and surveillance framework i.e. Market Abuse and Conduct Risk.

The CM&S Framework monitors transactions and communications within all the business lines including:

Global Markets Division
Global Investment Banking
Treasury

Experience in the execution and completion of compliance reports, providing statistical data, performing first level alert classification, escalation process and detailed investigations whilst delivering high quality and timely management information reports is essential. This includes documenting evidence and validating findings.

Proactive assessment of the compliance function and its associated risks arising is vital. This includes liaising with Business Compliance Advisory Financial Security, Fraud, Legal, Risk, Front Office and relevant IT teams where appropriate. All procedures and documents should be kept up to date to reflect the compliance plan and day to day tasks.

Communication skills (both written and verbal); strong analytical skills and a demonstrable track record of drafting reports and supplying relevant evidence that can be communicated to regulators is paramount. The incumbent should have experience of regular communications with senior managers and front office lines of business and are able to demonstrate flexibility, diplomacy, compliance ability and expertise throughout those communications.

All team members report to the Head of Surveillance UK and are an essential part of the Global Business Compliance team.

Key Responsibilities

Assist, improve and help implement new monitoring controls other than those set out above.
Follow up on any alerts identified as requiring calibration, lexicon changes or general improvements.
Compile breach / incident and audit trail reports arising from monitoring activity and report the outcome to the Head of Surveillance UK.
Create and document detailed user guides and desk top procedures ensuring all policies remain up to date.
Contribute to the maintenance of the annual Compliance Monitoring and Surveillance book of work.
Highlight issues to senior management regarding data input and data output.
Identify and escalate potential instances of Market Abuse, Operational risk and other market integrity issues as discovered from the alert creation process.
Ensure the efficient escalation of any potential breaches and tracking them as appropriate.
Ensure that the monitoring findings are accurately recorded and retrievable to provide full reporting to senior management.
Proactively identify gaps and weaknesses in surveillance/ monitoring activity and actively seeking to address them.
Ensure confidentiality at all times due to privileged information access.
Maintain awareness of key regulatory updates and analysing their impact on alert development.
Participate actively to the changes in the organisation triggered by the revamping of the monitoring platform and tools.

If this sounds like the ideal next move for you, APPLY NOW and we’ll be in touch.

Seniority level

Seniority level

Mid-Senior level

Employment type

Employment type

Full-time

Job function

Job function

Accounting/Auditing and Quality Assurance
Industries

Investment Banking

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