Summary of main tasks and responsibilities
Monitoring and surveillance responsibilities are rotated amongst the team and consequently you will be required to assist with such tasks as directed by the Compliance Monitoring and Surveillance Officer. The list below is not exhaustive:
• Maintain the CMP, updating the status as required of the tasks therein
• Execute such monitoring and surveillance tasks, detailed within the CMP, as required including but not limited to:
• Evaluate alerts from automated surveillance systems for potential market abuse and best execution
• Escalate (as appropriate) events of concern including; potential breaches of internal policies and procedures and possible acts of market abuse
• Raise STORs (including for peer review) as appropriate
• Respond to broker questionnaires and other ad hoc client enquiries
• Field Panel and Exchange Enquiries and maintain a log thereof
• Keep a log and process long and short market maker exemptions provided by the FCA
• Maintain and manage the internal restricted list, preparing new restricted notifications as appropriate
• Work with large CMP data sets to create user friendly management information to feed into Board Reports etc.,
• Assist with responding to regulatory enquiries
• Assist with project work as required
• Assist the team to actively promote and maintain the compliance culture within the organisation
• Trade and Transaction Reporting; monitoring and responding to enquiries originating both internally and externally
Candidate will ideally have some or all the following experience
• Experience of handling alerts from a market abuse surveillance system and drafting STORs would be particularly advantageous alternatively Compliance Monitoring and testing experience
• A good understanding of Trade and Transaction Reporting rules would be advantageous
• Strong and current working knowledge of FCA regulations and requirements relevant to an integrated sell-side organisation focussed on equities
• Advanced knowledge of Microsoft Word, Excel and PowerPoint
With a team of over 200 and growing every day, Goodman Masson is one of London’s specialist Finance and Technology recruitment businesses. Voted ‘Best Recruitment Company to Work For’ in 2018, our passion for what we do is clear.
Based in London, Düsseldorf and New York, we hold annual revenues exceeding £42 million. This includes Qualified & Part-Qualified / Transactional Finance, Actuarial & Investment Management, Audit, Banking Operations, Compliance & Financial Crime, Front Office, Housing Development, Information & Cyber Security, Technology, Digital & Data, Product Control & Valuations, Projects, Change & Transformation, Risk & Regulation, Tax and Treasury.
We also have a Solutions team who provide RPO, hybrid and volume recruitment services. Alongside this, Goodman Masson have developed an Executive Search team who focus on sourcing C-suite talent to fee earning Legal partners.