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Compliance Monitoring and Surveillance Officer

3 months ago

London, UK, United Kingdom Raymond James Full time

Who we are?

Raymond James is a wealth management firm focused on providing trusted advice and tailored, personalised investment services. We believe if we do what’s right for clients, we’ll help them achieve success while also realising our own. Our parent company, Raymond James Financial, has been doing the same in the US for over six decades.



Who we are looking for?

Under administrative direction, uses extensive knowledge and skills obtained through experience, specialised training and/or certification in Capital Markets to ensure compliance with all applicable rules and regulations. Ability to work independently on assignments and to work as part of a team when required. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Maintains contact internally to identify, research, analyse and resolve issues.



Responsibilities


Provides adequate support and guidance to enhance compliance efforts.

  • Escalates to Head of Compliance any issues/findings that may involve violations of rules and/or regulations.
  • Assist in the implementation of adequate controls and quality assurance processes to detect and address potential compliance problems.
  • Undertake MAR surveillance using Liquid Metrix, review alert settings and test parameters
  • Create and document daily alert review and escalation process for MAR Surveillance
  • Production of Best Execution and TCA reports using Liquid Metrix
  • Review/build out Compliance Monitoring Plan / Surveillance programme (with team)
  • Undertake monitoring reviews in line with the Compliance Monitoring Plan (with team)
  • Monthly e-communication and voice recording reviews
  • Review and respond to email surveillance alerts, analysing trends and escalating as appropriate
  • Assist with project to automate the Conflicts register and OBI/A process (both initial and annual recertification)
  • Creation of departmental procedures relevant to the above tasks
  • Identify and escalate current regulatory issues to ensure the firm remains in compliance with its obligations.
  • Ability to research, interpret and translate regulatory rules and regulations into policy.
  • Participate in corporate policy discussions related to compliance.
  • Report compliance monitoring and surveillance program status and activities.
  • Provide assistance with relevant external/internal examinations, ensuring that requested information and reports are provided.
  • Production of monthly Management Information in respect of monitoring and surveillance program and ad-hoc reports as required
  • Perform other duties and responsibilities as assigned.



Knowledge, Skills and Attributes

  • Thorough understanding of Market Abuse Regulations including practices and procedures of market standards within the securities industry and/or investment banking industry.
  • Rules and regulations of the UK FCA and other applicable regulatory agencies.
  • Experience conducting trade surveillance reviews
  • Sound understanding of Compliance responsibilities, practices and procedures within the securities industry.
  • Knowledge of Financial markets and products.
  • Strong communication skills
  • Ability to:
  • Work as part of a team Produce accurate work with strong attention to detail
  • Partner with other functional areas to accomplish objectives.
  • Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
  • Gather information, identify patterns and trends and apply findings to assignments. Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
  • Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organisational levels.



Educational/Previous Experience Requirements:


  • Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of three (3) years of experience in Compliance and/or the financial services industry or Any equivalent combination of experience, education, and/or training



Benefits

  • 25-days of annual leave + bank holidays + holiday increases each year, to a max of 30
  • Established hybrid working policy and openness to flexible working
  • Generous pension contributions
  • Private medical healthcare
  • Discounted Gym Membership
  • Life, Dental & Travel insurance






Raymond James is an equal opportunities employer and welcomes applications from a diverse background


At Raymond James we honour, value and respect the uniqueness, experiences, and backgrounds of all our Associates. When associates bring their best authentic self to work, our organisation, clients, and communities thrive. This is a key part of our people-first culture. The Company is an equal opportunities employer and makes all employment decisions on the basis of merit and business needs.