Private Side Front Office Conduct Surveillance

**Main duties and responsibilities: ** - Undertake daily trade surveillance activities to address and investigate alerts and identify and investigate potential market abuse and improper activity. - Identify risks/issues and discrepancies and proactively escalate to the Head of Compliance and the MLRO for secondary review as required. - Accurately document...

Fixed Income Trading Venue is seeking a Trade Surveillance Officer to lead the Trade, E-communications, and Voice communications surveillance for our firm. This is an exciting opportunity for a sales and trading Surveillance VP with fixed Income experience. As the Trade Surveillance Officer, you will report directly to the head of compliance and have sole...

**About this role**: The EMEA Compliance Surveillance team monitors and analyses the sales, trading and banking activities conducted by Wells Fargo's Corporate & Investment Bank "CIB" and Commercial Banking business groups in EMEA as well as undertaking the surveillance of electronic communications and voice communications across both business lines and...

Responsibilities Work in partnership with Middle Office IT and stakeholders in compliance, Technology & front office to develop road maps Manage and communicate the IT strategy & vision for Trade Surveillance & Communications Oversee multiple projects and deliverables within the Trade Surveillance space Work with product owners & IT delivery teams...

Surveillance IT PM/Technical BA - Commodities Trading - London twentyAI have partnered with a Commodities Trading Firm in London who are looking for a Trade Surveillance Technical BA/PM to join their IT function. Work in partnership with Middle Office IT and stakeholders in compliance, Technology & front office to develop road maps Manage and communicate...

Located in Knightsbridge on the edge of Hyde Park, Bulgari Hotel London is both a haven of calm in the centre of the city and yet under a minute’s walk from such landmarks as the famous Harrods department store. Since opening in 2012, Bulgari has set new standards among the luxury hotels of the British capital. Elegant contemporary architecture and...

Compliance Advisory VP - Private Side Hybrid, London, United Kingdom We are seeking an experienced Compliance Advisory VP to join a leading Investment Bank as part of their Private Side Compliance team. In this role, you will provide expert guidance and support to the private side businesses, ensuring compliance with relevant regulations and internal...

**Job Title**: EHR Quality Management Surveillance Officer **Location**: Central London / Hybrid Remote **Contract Type**: Fixed term for the duration of EHR implementation **Summary of position** This a fantastic opportunity for an experienced Quality Management Surveillance Officer to become integral in working with the Quality Management Surveillance...

Key Responsibilities: Provide timely and accurate compliance advice to the private side of the business Interpret and communicate regulatory requirements and industry standards to business units, ensuring adherence to applicable laws and regulations. Collaborate with business stakeholders to develop and implement compliance controls, policies, and...

An expanding International Bank are looking to recruit a Trade Surveillance Officer to join their team, covering their sales and trading activities across the Business. **Main Responsibilities** - Design, implement and calibrate new surveillance's as well as the refinement of existing ones. Interacting with IT and Systems teams on the specific design and...

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...

Poste et missionsThe incumbent will act as a core member of the Business and Functions Compliance team, supporting a broad range of Advisory Compliance activities across the various business units and functional areas within the UK branch, including Banking and Markets desks. The individual will act as a primary point of contact to the Markets businesses as...

Poste et missions The incumbent will act as a core member of the Business and Functions Compliance team, supporting a broad range of Advisory Compliance activities across the various business units and functional areas within the UK branch, including Banking and Markets desks. The individual will act as a primary point of contact to the Markets...

Key Responsibilities: - Monitor and investigate trading activities across multiple markets and exchanges - Utilize advanced analytics and technology to identify patterns and anomalies - Conduct regular reviews of trading activities to ensure regulatory compliance - Collaborate with internal stakeholders to identify potential areas of risk - Produce accurate...

**Job Title**:Trade Surveillance Alert Reviewer** **Corporate Title: VP / Director** **Location: London** **Company Overview** At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates,...

Risk Oversight & Challenge, Control, Oversight & Assurance Trade Surveillance Officer - London, United Kingdom- Permanent- Full Time#R-00231241

Trade Surveillance Analyst page is loaded Trade Surveillance Analyst Apply locations UK-London time type Full time posted on Posted 4 Days Ago job requisition id R001706 Trade Surveillance Analyst Shift Pattern: Standard 40 Hour Week (United Kingdom) Scheduled Weekly Hours: 40 Corporate Grade: F - Officer Reporting Line: (UK Division) LME Operations ...

**Tasks and Responsibilities** - Investigate trading practices i.e. market abuse and best execution monitoring via the automated surveillance system. - Undertaking periodic compliance reviews across the equity, fixed income and convertible bonds businesses. - Front Office Communications monitoring. - Undertaking desk reviews. - Respond to ad hoc client and...

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...

**FIX / Front Office Trading Support - London (Hybrid) - 6 Month Contract** **£550.00 - £750.00 Per Day Inside IR35** I am currently working with a large investment banking company who is looking to secure the services of an experienced support professional required for Equities Front Office Connectivity team. The role will focus on client on-boarding,...