At a Glance
- 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.
- Other info: 6-month fixed term contract with potential for growth.
- 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.
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
Surveillance Monitoring Officer employer: Rev & Regs
Join a large multinational financial services company in Liverpool, where you will be part of a dynamic team dedicated to maintaining the highest standards of compliance and surveillance monitoring. With a strong emphasis on professional development, this role offers opportunities for growth within a supportive work culture that values collaboration and innovation. Enjoy the benefits of a hybrid working model, allowing for flexibility while being part of a vibrant office environment three days a week.
StudySmarter Expert Advice🤫
We think this is how you could land Surveillance Monitoring Officer
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Rev & Regs looking for candidates who are engaged and informed.
We think you need these skills to ace Surveillance Monitoring Officer
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Rev & Regs. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Rev & Regs
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Rev & Regs’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
