Compliance Monitoring & Surveillance Analyst

  • £55000
  • London, England, United Kingdom
  • Permanent, Full time
  • Lawbrook Finance
  • 16 Jan 18 2018-01-16

A leading corporate finance house and broker are looking for an experienced monitoring /surveillance professional to undertake a trade surveillance role. Working with the Compliance Monitoring Programme, you will run tests, collate MI and make reports and conduct trade surveillance.

  • Assist with the completion of the Compliance Monitoring annual plan
  • Monitor Compliance with the firm’s policies and procedures and applicable laws and regulations
  • Conduct Compliance monitoring tests of varying frequency in line with the Compliance Monitoring Annual Plan
  • Produce timely and accurate reports of the findings of the Compliance Monitoring tasks
  • Produce targeted ad hoc reviews
  • Working directly with all areas of the business (e.g. Front Office, Operations etc) to gather information and resolve queries arising from monitoring tasks
  • Identification and escalation of breaches to Head and Deputy Head of Compliance as appropriate
  • Recording of action points and tracking them through to completion
  • Maintain stakeholder engagement and build ongoing relationships throughout Compliance Monitoring activity
  • Execute surveillance activity including:
    • Surveillance of market abuse alerts
    • Monitor Alpha capture platform
    • Monitoring of electronic communications
  • Identification of and contribution to the completion of Suspicious Transaction and Order Reports (STORs)
  • Contribute to management reports including monitoring and surveillance information for the Deputy Head of Compliance and Risk and Compliance Committee
  • Any other duties as required from time to time.