Compliance Surveillance Officer

THE COMPANY:

Our client is a global wholesale banking business based in London.  With an international reach, they are a truly first class employer.

THE RESPONSIBILITIES:

• Adjudicate on trade surveillance alerts for London and Dublin entities
• Assist with the calibration of trade surveillance systems
• Identify and escalate potential regulatory breaches of MAR or firms’ policies
• Assist with the development and integration of processes and drafting of policies and procedures
• Participate in the enhancement of governance processes around alert and parameter calibration
• Liaise with SMEs across Capital Markets Compliance to develop best practice
• Involved in enhancing current exceptions reports and developing new surveillance tools and reports
• Develop and enhance Management Information
• Involved in the annual market abuse risk assessment across all lines of business for London and Dublin entities
• Assist in internal audit and regulatory reviews

EXPERIENCE REQUIRED:

• Experience and knowledge of automated trade surveillance such as NASDAQ SMARTSBroker, and Bloomberg BTCA or other systems would be useful
• Knowledge of and experience in establishing and calibrating alerts to ensure timely and effective detection of EU and UK MAR manipulation offences
• Experience of trade surveillance on algorithmic trading and commodities trading would be an advantage
• Good working knowledge of the wholesale capital markets business

For further information please contact Hannah Tabatabai