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Market Conduct Surveillance Officer
2 months ago
AMS is a premier provider of Talent Acquisition and Management Services, partnering with NatWest to enhance contingent recruitment processes. We are currently seeking a Surveillance Analyst - Trade and E-Communications for a contract role that offers the flexibility of remote work.
NatWest stands as a significant retail banking institution in the UK, serving over 17 million customers with a diverse range of financial services including Business Services, Corporate Banking, Wealth Management, and Retail Banking.
As a Surveillance Analyst, your primary responsibility will be to scrutinize and investigate potential violations of policies utilizing a variety of surveillance tools. You will monitor trading activities and communication patterns to ensure compliance with market conduct regulations, workplace standards, client interactions, and procedural adherence.
Key Responsibilities:
Your role will encompass the following:
- Proactively identifying emerging risks and enhancing controls to ensure effective surveillance operations and risk mitigation.
- Analyzing activities for potential flags and escalating findings as necessary.
- Conducting thorough analyses of alerts, incorporating market data and source system information.
- Supporting the creation and execution of an annual surveillance work program that meets deadlines.
- Staying informed about evolving regulations and policies.
Required Skills:
We are looking for candidates with a background in financial services, particularly in investment banking. Strong logical reasoning and analytical capabilities, along with meticulous attention to detail, are essential. You should be adept at sourcing and evaluating multiple data points to inform risk-based decisions.
Additional Qualifications:
- Familiarity with regulations pertaining to equities and fixed income markets, as well as electronic trading concepts.
- Understanding of trading processes and financial products.
- Ability to apply technical knowledge to data analysis for solving complex issues.
- Flexibility to adapt to changing market conditions and business requirements.
- Experience in project implementation and participation in relevant work streams.
- Capability to assist in developing policies and procedures.
- Strong interpersonal skills to collaborate effectively with colleagues at all levels.
Next Steps:
With a commitment to inclusivity, exceptional learning opportunities, and a focus on employee wellbeing, AMS NatWest Contingent offers a rewarding environment for temporary roles. Join us in our mission to build a sustainable banking institution dedicated to supporting individuals, families, and businesses.
Please note: We will only accept candidates operating through an Umbrella or PAYE engagement model.
