Compliance Officer
1 month ago
Surveillance Compliance (AVP/VP)
Our client is a global investment bank, who are seeking a compliance professional to take on a position in the firm’s markets surveillance function.
Your responsibilities will include:
- Assist in performing daily surveillance of trading to ensure compliance with relevant regulations.
- Investigating potential instance of market abuse and rule breaches and product detailed reports highlighting the abusive behaviour.
- Play an important part in delivery of a variety of initiatives across surveillance i.e. system testing and implementation.
- Help to improve current systems and processes.
- Be the point of contact for policies and procedures that impact the surveillance space.
- Produce and analyse reports.
As a successful applicant you will have:
- Demonstrated experience in the surveillance function of a financial services firm, preferably with experience of the equities markets.
- A working knowledge of the relevant FCA rules and regulations.
- Experience in surveillance project delivery.
- Strong attention to detail.
- Excellent communication skills both verbal and written.
For more information on this role, please contact
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