Compliance Surveillance Specialist

3 days ago


London, Greater London, United Kingdom Compliance Professionals Full time
Job Title
Compliance Surveillance Specialist

Company Overview
The Compliance Professionals is a leading securities firm based in the City, dedicated to providing exceptional service to our clients. We are committed to maintaining the highest standards of compliance and risk management.

Salary
The estimated salary for this role is £90,000 - £120,000 per annum, depending on experience.

Job Description
We are seeking a Compliance Surveillance Specialist to join our team. As a key member of our compliance department, you will be responsible for conducting trade surveillance and related front office monitoring activities, as well as investigating potential abusive and/or non-compliant behaviours.

  1. Manage Surveillance Function: Manage the surveillance function and work with trade surveillance analysts to conduct trade surveillance and related front office monitoring activities.
  2. Investigate Behaviour: Conduct investigations into potential abusive and/or non-compliant behaviours, documenting findings, and preparing regulatory reports as necessary.
  3. Assist in Strategy Development: Assist in the production of and delivery of the Market Abuse Strategy, including the firm's market abuse risk assessment and employee education programme.

Required Skills and Qualifications
The ideal candidate will have:
  1. 5+ years' relevant experience in trade surveillance/market abuse financial compliance related roles.
  2. Proficiency in trade surveillance systems and software.
  3. A strong understanding of the regulatory framework relevant to the role, whilst practicing effective risk management.

Benefits
We offer a competitive salary package, comprehensive training and development opportunities, and a collaborative and dynamic work environment.

Others
As a Compliance Surveillance Specialist, you will have the opportunity to develop your skills and expertise in a fast-paced and challenging environment.

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