Communications Surveillance Officer

2 days ago

London, United Kingdom eFinancial Careers Full time

Our client are a leading global Corporate and Investment Bank based in the City of London.

**Description**

The Communications Surveillance Officer - VP will be responsible for:

- Support the development of the communications surveillance framework for the regulated entities within the Group;
- Assist in the implementation of new policies and procedures in response to, or in anticipation of, relevant rule changes and new legislation;
- Work closely with the relevant stakeholders throughout the firm to ensure that appropriate enhancements are made to the firm's surveillance systems, reports and processes as and when rules and regulations require such changes;
- Ensure ongoing development of surveillance reports is consistent with regulatory enhancements;
**Surveillance Management**
- Execute the surveillance processes and SMP (i.e. review, investigation and timely closure & documentation of surveillance alerts); and ensure deliverables are conducted on time;
- Assist with maintaining and updating the communications surveillance programme to maintain its effectiveness;
- Assist in developing a Compliance Risk Assessment ('CRA') methodology which will result in a risk adjusted impactful SMP making the most effective use of existing resources;
- Completing aspects of the CRA, Market Abuse Risk Assessment and other Departmental Risk Assessments or gap analysis as appropriate;
**Profile**

The Communications Surveillance Officer - VP should have the following skills:

- Experience of communications surveillance and awareness of associated industry practices and disciplines;
- Compliance background (within a securities house, broker dealer/wholesale banking environment);
- Experience in the first line of defence is desirable;
- Experience of voice and electronic communications surveillance tools (e.g., Bloomberg; Nice Actimize; EMC Dell SourceOne; Wordwatch) is preferable;
- Proficiency in the English language, both verbally and in writing is required. Fluency in Japanese; German; French; Spanish and any other European language a strong plus;
- Regulatory awareness and understanding of the emerging regulatory landscape including MiFID II and MAR;
- Good knowledge and experience of capital markets and treasury investment products;
- Good awareness of financial conduct areas;
- The ability to manage a number of issues / investigations concurrently;
- Accuracy and attention to detail;
- Self-motivation;
- The ability to work independently and as part of a team;
- The ability to work under pressure.
- Experience of coaching junior team members, covering a diverse set of tasks and prioritising accordingly;
- The ability to build effective relationships across the three lines of defence and a team spirit approach;
- Diplomacy and logic to challenge concepts, policies and current practices;
- An analytical mind and reasoned judgments delivered in a disciplined and structured manner; and
- The ability to resolve problems.

**Job Offer**

Salary of £80,000 -£100,000 plus attractive benefits package

Hybrid working

  • Compliance Officer, Trade

    1 week ago

    London, United Kingdom SGS Société Générale de Surveillance SA Full time £125 - £150

    Compliance Officer, Trade & Communications Surveillance (VP)Scroll down to find an indepth overview of this job, and what is expected of candidates Make an application by clicking on the Apply button.Societe Generale is one of Europe's leading financial services groups and a major player in the economy for over 160 years, we support 25 million clients every...

  • Director, Trade Surveillance APAC

    2 weeks ago

    City Of London, United Kingdom SGS Société Générale de Surveillance SA Full time

    Department DescriptionWithin Compliance, Capital Markets Surveillance (‘CMS’) team addresses capital markets surveillance of GBS Wholesale Banking activities. The function’s core activities entail Trade and Communications surveillance activities along with the processing of Significant Shareholding Disclosures for the group.The Trade Surveillance...

  • Surveillance Compliance Officer

    1 week ago

    London, United Kingdom Marex Full time

    London, GB Full-Time Compliance **About Marex** Marex Group plc (NASDAQ: MRX) is a diversified global financial services platform providing essential liquidity, market access and infrastructure services to clients across energy, commodities and financial markets. The group provides comprehensive breadth and depth of coverage across four core services:...

  • Junior Surveillance Officer

    1 week ago

    London, Greater London, United Kingdom The RP Research Full time £30,000 - £40,000 per year

    We are on the search for an immediately available, Market Abuse Surveillance Officer.Note: This is a junior position, designed to help the 'Senior Surveillance Officer' deal with a backlog of alerts.3 month contract opportunityImmediate starter position1) Some experience as a junior Market Abuse Surveillance Officer?2) The ability to start a role...

  • Trade Surveillance Officer

    1 week ago

    Greater London, United Kingdom NatWest Group Full time

    Join us as a Trade Surveillance Officer You’ll play a vital role in undertaking surveillance checks and fact‑finding reviews to monitor trading activities and ultimately ensure compliance with market conduct policies and regulation We’ll look to you to contribute to improving existing surveillance systems as well as assisting in driving new...

  • Trade Surveillance Officer

    2 weeks ago

    London, United Kingdom Crédit Agricole CIB Full time

    Job description **Business type**: - Types of Jobs - Compliance / Financial Security **Job title**: - Trade Surveillance Officer **Contract type**: - Permanent Contract **Management position**: - No **Job summary**: - The incumbent shall work within the Surveillance area to implement and perform monitoring and testing of trade alerts across all CA...

  • Mobile Surveillance Officers

    2 weeks ago

    London, United Kingdom MI5 Full time

    **The Role** **The Skills** **Blending in**: Being able to blend into the background safely is of paramount importance in our investigations. This is about always behaving naturally and putting your safety and those of your colleagues first. We provide intensive training to support this. Any distinguishing features such as tattoos on your face, neck or...

  • Front Office Surveillance Consultant

    2 weeks ago

    London Area, United Kingdom Robert Half Full time £100,000 - £120,000 per year

    Front Office Surveillance Consultant (Market Abuse Regulation – MAR)Robert Half, in partnership withProtiviti, a global consulting firm (and S&P 500 organisation), is supporting the search for anexperienced interim consultantto join aFront Office Surveillance and Communicationsinitiative focused onMarket Abuse Regulation (MAR).This role will focus on...

  • Trade Surveillance Officer

    1 week ago

    City Of London, United Kingdom NatWest Group Full time

    Join us as a Trade Surveillance Officer You’ll play a vital role in undertaking surveillance checks and fact‑finding reviews to monitor trading activities and ultimately ensure compliance with market conduct policies and regulation We’ll look to you to contribute to improving existing surveillance systems as well as assisting in driving new...

  • Trade Surveillance Officer

    1 week ago

    London ECM AA, United Kingdom NatWest Group Full time £60,000 - £80,000 per year

    Join us as a Trade Surveillance OfficerYou'll play a vital role in undertaking surveillance checks and fact-finding reviews to monitor trading activities and ultimately ensure compliance with market conduct policies and regulationWe'll look to you to contribute to improving existing surveillance systems as well as assisting in driving new technological...