Assistant Compliance Officer recruitment
Our client is a household name within Investment and Commercial Banking with offices through Europe. They are currently looking for an Assistant Compliance Officer to join their Trade Surveillance Compliance Team.
Your main responsibilities will be:
• Assisting with the daily monitoring and surveillance of all equity and financial market trading activities.
• Identifying any unsuitable disclosures, insider dealings or breaches of information barriers through the use of trade exception reports and trade booking systems.
• Assisting with any incoming enquiries and/or event driven monitoring when the trading activity requires review.
• Liaising with the Compliance Advisory team, Operations and general front office staff, investigating and escalating all findings where appropriate.
• Undertaking any ad-hoc Control Room support functions as and when required.
You will have previous experience within a Financial Services Compliance surveillance role, ideally with a solid understanding of the FSA Rule Book. This is an excellent opportunity to gain a broad level of exposure across Compliance and the rest of the business as you will be liaising with senior management from a variety of business areas daily. This role will place you perfectly to grow your Compliance career in a productive environment that will constantly push you to succeed in every aspect of the position.
To discuss this role and others within Banking please contact Agi Heale on 02031453376 or at agi.heale@bruinfinancial.com.