Communications Surveillance

7 months ago

London, United Kingdom Compliance Professionals Full time

**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 Departmental Risk Assessments or gap analysis as appropriate;
- Assist with maintaining and updating the communications surveillance programme to maintain its effectiveness;
- Execute the Surveillance Monitoring Program (i.e., review, investigation and timely closure & documentation of surveillance alerts);
- Escalate any issues arising from communications surveillance
- Draft internal and external investigation summaries and Suspicious Transaction Order Reports (STORs);
- Assist in the preparation of internal and external reports and related material gathering e.g. monthly Compliance MI packs;
- Coordinate technology solutions for the communications surveillance programme;
- Monitor European and UK regulatory developments and identify new regulations
- Monitor appropriate information and insider trading prevention procedures;
- In conjunction with EMEA Head of Surveillance conduct Quality Assurance (‘QA’) and oversight of other surveillance tasks conducted by the Compliance Department;
- Work collaboratively on tasks with other members of the Surveillance team and the broader Compliance team
- Liaise with industry bodies as relevant;
- Attend all Compliance meetings as required and complete mandatory training on a timely basis;
- Keep abreast with changes in products / activities of the Group and / or regulations that may have impact on risks to the Group; and
- Assist and / or co-ordinate compliance surveillance related projects.

**EXPERIENCE REQUIRED**:

- Experience of communications surveillance and awareness of associated industry practices and disciplines;
- Good knowledge of financial services, markets, securities and banking activities;
- Regulatory awareness and understanding of the emerging regulatory landscape;
- The ability to manage a number of issues / investigations concurrently;

For further information please contact Natalie Eshelby

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