141940 – Senior Associate Compliance Division for EMEA
A City of London based Investment Bank is expanding their Compliance Surveillance team. The team is currently 6 people, with a depth of experience from across the market. They are looking for someone who is comfortable across wholesale products, and also with the processes involved in employee compliance activities.
Based on the trading floor, the team will monitor trading patterns to help mitigate the risk of market abuse. You will become part of a well-regarded team providing comprehensive market surveillance across the London based businesses, and across all product classes. The exposure across the markets means that you will avoid being siloed. The role also involves employee surveillance activities, including the monitoring of telephones and email communications to avoid insider dealing.
Candidates for this role must have previous compliance experience in a wholesale organisation, as well as understanding of relevant regulation. Candidates must also have very strong people management skills, and the ability to learn quickly.
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