Job Title: COMPLIANCE SURVEILLANCE MONITORING OFFICER


Reference:AJB JB IB 77


Date: 18 Jun, 2018

Location: City


Assignment Profile:

Our client is a highly regarded city based financial services institution They are seeking to employ a compliance officer to join the compliance monitoring and advisory team This role sits within the London Compliance function responsible for carrying out surveillance and monitoring of trading activity You will undertake other core compliance work, including the delivery of compliance e-training and managing approved persons registrations. You will work closely with the Business, and develop thorough business knowledge to be able to work more effectively to monitor the activity on the electronic trading venues. You will also work closely with the Compliance Advisory team to ensure the swift and effective resolution of issues identified through surveillance activities. Duties and Responsibilities Real time and post trade monitoring via trade/order surveillance system to detect market abuse and improper trading behaviour Escalating suspicious transactions and conducting follow-up investigations Monitoring of electronic and voice communications to meet regulatory requirements Undertaking ad-hoc monitoring reviews (both desk-based and thematic reviews) in line with the Compliance Monitoring Plan Identifying front office training needs highlighted during monitoring and business reviews Assisting with audit visits and investigations or queries from regulators Assisting with ad hoc work, investigations and projects as required Liaising with all internal control functions to assist in the identification of monitoring-related issues, and the resolution and closing of outstanding monitoring, investigation or other control findings

Candidate Profile:

Well educated Minimum 2/3 years Compliance Monitoring experience Good knowledge of market abuse rules Understanding of electronic trading Previous practical experience gained working in a monitoring function within a financial services firm Skilled in Microsoft applications software (Word, Excel, PowerPoint, Outlook etc) Knowledge of automated trade surveillance systems (e.g. SMARTS, Kx, Scila, etc)

Consultant: Jonathan Banjo


Consultant Email: jbanjo@ajbexecutivesearch.co.uk


Salary:Circa £50-55,000 Plus Benefits and Bonus


If you feel you are a suitable candidate for this position please contact Jonathan Banjo

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