Fantastic opportunity to join a small compliance team to champion the Surveillance function covering Voice, Ecomms and Trade monitoring activities
- Conduct trade, electronic and voice e-communication surveillance monitoring activities and management of identified risks.
- Review and analyse all relevant data and provide a diverse input/perspective
- Assist with developing the infrastructure that supports the efficient and effective delivery of digital trading monitoring, surveillance and risk identification, within the financial trading markets.
- Quickly understand the business and process issues and data challenges
- Asist in the revision of business processes and documentation then implement changes as appropriate
- Assist with other monitoring and testing activities
- Consistently applying a risk management approach to all aspects of the role.
- Data/Information gathering for analysis.
- Evidencing of all activities undertaken as per agreed minimum standards.
- Identifying and escalating concerns/risks as they relate to regulatory requirements, firm policies and global standard.
- Ensure appropriate and timely alert management following a minimum standard for closure or escalation
- Assist in the production of periodic management information
- Work with key stake-holders and project teams to continue to develop business processes.
Financial Markets Monitoring/Surveillance knowledge:
- Good knowledge of surveillance policies and procedures.
- In-depth knowledge of UK regulations as they apply to the financial market products
- Experience in driving critical statutory and regulatory processes for financial markets.
Financial Markets knowledge:
- Significant financial markets knowledge with a particular focus on fixed income, commodities & derivatives.
- Knowledge of business processes from front to back office, inclusive of finance, middle office, risk management and treasury.
- Regulatory investigations and complex market misconduct analysis.
- CISI UK Financial Regulation & Securities Certificate preferable.
- Exposure to eCommunication & trade surveillance technologies
- Exposure to trading and risk management System and emerging Technologies
Excellent judgement, analytical and problem solving skills.