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- Tasks: Monitor trade activities and ensure compliance with regulatory standards.
- Company: Join a leading multinational financial services company in Liverpool.
- Benefits: Competitive salary, hybrid work model, and professional development opportunities.
- Why this job: Make a real impact in the finance industry while developing your skills.
- Qualifications: Experience in compliance monitoring and strong communication skills required.
- Other info: 6-month fixed term contract with potential for growth.
The predicted salary is between 18000 - 24000 £ per year.
Rev & Regs are recruiting for a Surveillance Monitoring Officer role for a large multinational financial services company in Liverpool. This is a 6-month fixed term contract.
To act as a Surveillance Monitoring Officer and support with the execution of the 2LOD ‘surveillance’ monitoring programme including but not limited to daily review of trade activity and weekly assessment of best execution.
Responsibilities:
- Supports the delivery of the surveillance monitoring programme across the Group, in line with regulatory requirements and ensures the smooth delivery of said plan to a high standard of quality.
- Ensures that the quality and tenacity of review work completed is to a high standard, accurate and well documented.
- Assess trades on a daily basis for potential market abuse utilising the automated analysis software, LiquidMetrix and the business enhanced monitoring activities.
- Assesses best execution on a weekly basis and provides challenge to 1LoD Dealing teams on the outliers identified by the trade monitoring software.
- Attends and provides input to weekly best execution meetings between the Dealing team and Compliance.
- Supports the maintenance and development of the trade monitoring software, LiquidMetrix.
- Performs routine monitoring programme across the Group’s communication mediums.
- Produces regulatory submissions including TR-1 reports and Takeover Panel reporting.
- Develops insightful and meaningful management information to help governing Committees understand themes and trends arising.
- Drives the continuing professional development of oneself.
Experience:
- Demonstrates a solid understanding of the investment management industry.
- Demonstrable experience in compliance monitoring and a strong understanding of the regulatory requirements of this.
- Confident communicator, skilled at developing internal relationships and external where necessary (e.g. regulators, external auditors and potentially clients)
- Keeps up to date with developments in both the Group and wider industry, including new products, legislation and regulation.
- Knowledge and good understanding of COBs, MAR, CASS and general FCA and PRA requirements.
- Strong IT literacy and ability to adapt to new systems
- Background in compliance roles and experience of compliance monitoring
- Demonstrable experience in trade monitoring including Best Execution and Market Abuse
Location: hybrid (3 days per week in Liverpool office)
Duration: 6-month FTC
Salary – £30,000 FTE
Locations
Surveillance Monitoring Officer employer: Rev & Regs
Contact Detail:
Rev & Regs Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Surveillance Monitoring Officer
✨Tip Number 1
Network like a pro! Reach out to people in the financial services industry, especially those who work in compliance or surveillance. A friendly chat can lead to insider info about job openings and even referrals.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of regulatory requirements like COBs, MAR, and FCA guidelines. We want you to show off your expertise and confidence when discussing these topics!
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation. It keeps you fresh in their minds and shows your enthusiasm for the role.
✨Tip Number 4
Apply through our website for the best chance at landing that Surveillance Monitoring Officer role. We’re all about making connections and helping you find the right fit in the industry!
We think you need these skills to ace Surveillance Monitoring Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Surveillance Monitoring Officer role. Highlight your experience in compliance monitoring and any relevant skills that match the job description. We want to see how you fit into our team!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about the role and how your background aligns with our needs. Keep it concise but impactful – we love a good story!
Showcase Your Skills: Don’t forget to showcase your IT literacy and familiarity with trade monitoring software like LiquidMetrix. We’re looking for someone who can hit the ground running, so let us know what you bring to the table!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Rev & Regs
✨Know Your Regulations
Make sure you brush up on the key regulations like COBs, MAR, and CASS before your interview. Being able to discuss these confidently will show that you understand the compliance landscape and are ready to hit the ground running.
✨Familiarise Yourself with LiquidMetrix
Since you'll be using LiquidMetrix for trade monitoring, it’s a good idea to get familiar with how it works. If you can demonstrate knowledge of this software during your interview, it’ll set you apart from other candidates.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific situations related to market abuse or best execution. Think through some examples from your past experience where you successfully navigated similar challenges.
✨Showcase Your Communication Skills
As a Surveillance Monitoring Officer, you'll need to communicate effectively with various teams. Be prepared to share examples of how you've built relationships in previous roles, especially with compliance teams or external auditors.
