Compliance Monitoring and Surveillance Officer

THE COMPANY: If you are considering sending an application, make sure to hit the apply button below after reading through the entire description.Our client is a leading securities business. They are looking for a Compliance Monitoring and Surveillance Officer to join the team. THE RESPONSIBILITIES:Provides adequate support and guidance to enhance compliance...

THE COMPANY: Our client is a leading securities business. They are looking for a Compliance Monitoring and Surveillance Officer to join the team. THE RESPONSIBILITIES: Provides adequate support and guidance to enhance compliance efforts.Escalates to Head of Compliance any issues/findings that may involve violations of rules and/or regulations.Assist in...

Our client is a leading securities business. They are looking for a Compliance Monitoring and Surveillance Officer to join the team. Provides adequate support and guidance to enhance compliance efforts. Escalates to Head of Compliance any issues/findings that may involve violations of rules and/or regulations. Assist in the implementation of adequate...

**Our Client**: We are working with a global Investment Bank / Capital Markets business in the search for a Compliance Monitoring and Surveillance Analyst to be a part of their London based team. **Responsibilities**: - Undertake daily post trade surveillance monitoring (review and escalate) - Use PowerBI to deal with non-automated Trade Surveillance -...

**THE COMPANY**: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. **THE RESPONSIBILITIES**: - Responsible for carrying out monitoring reviews to determine whether key...

Our client a Financial Services firm is looking to hire a Compliance Monitoring Officer to join a fantastic compliance team (for full job description please apply): Role Responsibilities: - Ensure that monitoring and surveillance activities are undertaken according to agreed procedures and frameworks. - Monitoring and surveillance activities will include...

**THE COMPANY**: Our client is a successful banking firm with a strong global presence, offering a comprehensive range of services across corporate and investment banking activities **THE RESPONSIBILITIES**: - Assist in developing a Compliance Risk Assessment (‘CRA’) methodology - Completing aspects of the CRA, Market Abuse Risk Assessment and other...

Our client a Financial Services firm is looking to hire a Compliance Monitoring Officer to join a fantastic compliance team (for full job description please apply):Role Responsibilities: Ensure that monitoring and surveillance activities are undertaken according to agreed procedures and frameworks. Monitoring and surveillance activities will include the...

Job Description Our client, a leading Commodity Trading firm are seeking to appoint a Surveillance Officer to join the team in London. The Surveillance officer will be responsible for ensuring compliance with regulations related to market abuse and insider trading. This role requires a deep understanding of financial markets, regulatory requirements, and...

Our client, a leading Commodity Trading firm are seeking to appoint a Surveillance Officer to join the team in London. The Surveillance officer will be responsible for ensuring compliance with regulations related to market abuse and insider trading. This role requires a deep understanding of financial markets, regulatory requirements, and the ability to...

Our client, a leading Commodity Trading firm are seeking to appoint a Surveillance Officer to join the team in London. The Surveillance officer will be responsible for ensuring compliance with regulations related to market abuse and insider trading. This role requires a deep understanding of financial markets, regulatory requirements, and the ability to...

Our client, a leading Commodity Trading firm are seeking to appoint a Surveillance Officer to join the team in London. The Surveillance officer will be responsible for ensuring compliance with regulations related to market abuse and insider trading. This role requires a deep understanding of financial markets, regulatory requirements, and the ability to...

Our client, a leading Commodity Trading firm are seeking to appoint a Surveillance Officer to join the team in London. The Surveillance officer will be responsible for ensuring compliance with regulations related to market abuse and insider trading. This role requires a deep understanding of financial markets, regulatory requirements, and the ability to...

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rulesor internal policies and procedures. When potentially anomalous behavior is detected, the team is...

Tradition is the interdealer broking arm of Compagnie Financière Tradition and one of the world's largest interdealer brokers in over-the-counter financial and commodity related products. CFT is represented in over 28 countries, employing over 2,500 people. Tradition’s goal is to provide superior client services. It believes its business success is a...

Great starting salary ranging from €35,000 - €40,000 - Ideally located offices in the heart of Paris' city centre - Fantastic opportunity to work within a young business experiencing rapid growth **If you’re looking for Market Analyst jobs in Paris, and you’re interested in working in the financial services sector, look no further - this equities...

Great starting salary ranging from €35,000 - €40,000 - Ideally located offices in the heart of Paris' city centre - Fantastic opportunity to work within a young business experiencing rapid growth **If you’re looking for Market Analyst jobs in Paris, and you’re interested in working in the financial services sector, look no further - this equities...

A highly regarded international bank.DescriptionSome of the key responsibilities include:Undertake daily post trade surveillance monitoring on a timely basis to identify activity which may indicate possible market abuse or market integrity issues, ensuring that all analysis is completed to the highest standard and is appropriately documented. Review, close...

Tradition is the interdealer broking arm of Compagnie Financière Tradition and one of the world's largest interdealer brokers in over-the-counter financial and commodity related products. CFT is represented in over 28 countries, employing over 2,500 people.Tradition's goal is to provide superior client services. It believes its business success is a direct...

What you’ll do: Support the onboarding of new clients to ACA Mirabella’s regulatory hosting platform with a focus on deploying market abuse trade surveillance and e-comm’s surveillance tools. Working with the Risk and Compliance functions to prepare market abuse risk assessments. Conduct trade and e-comms monitoring activities. Work with...