An international bank is looking to hire a Compliance Officer, Surveillance for its expanding Second Line team. The hire will play a key role in voice & comms surveillance for a dynamic trading business.
Key responsibilities include:
- Voice and electronic communications reviews.
- Identify, investigate, escalate, and manage potential violations of regulatory business conduct standards.
- Identify controls weakness with early detection to plug in any gaps in the surveillance process.
- Prepare and present reports and dashboards related to surveillance.
- Review and analyze new products and activities initiated by traders.
- Assist in implementing Surveillance compliance programs to ensure that the required supervisory structure is in place, which addresses regulatory requirements, industry best practices including Trade surveillance.
- Maintain current knowledge of applicable laws and regulations, and track regulatory changes in legislation, keep business and management informed as needed.
Key experience includes:
- 1-3 years’ experience in a financial services company, ideally with a trading division.
- Preferably Compliance or Regulatory experience.
- Experience of market conduct, market abuse, conflicts of interest.