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Compliance Officer

4 months ago

London, United Kingdom Bruin Full time

Job Description

A great opportunity to join a established and growing firm My client is looking for a Trade Surveillance officer who has the experience and initiative to assist in the implementation of new processes/systems as well as improve the current procedures. The successful candidate will have autonomy and will need to be hands on in their approach and assist the compliance team where required.

Duties include, but not limited to:

  • Assisting within day-to-day surveillance activities including e-communications and trade surveillance
  • Assisting in the provision of Compliance advice in response to ad-hoc requests and day-to-day interpretation and guidance relating to our policies, particularly on market abuse and conflicts of interest.
  • Maintenance of Restricted, Insider and Conflicts lists.
  • Collation and assistance on preparing MI relating to surveillance and other activities.
  • Supporting horizon-scanning activities relating to capital markets
  • Contribute to new policy, projects and Compliance initiatives.
  • Input in the design and implementation of enhancements to new or existing procedures relating to communications and trade surveillance.
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