Compliance Monitoring & Surveillance recruitment
As part of the Bank's commitment to further strengthen its compliance review function, and to support both ongoing and widening coverage of wholesale market activity within its existing commercial banking operations, The Bank is seeking to hire a monitoring and surveillance professional to support it's efforts to identify, manage and report incidents of market abuse or other improper activity.
The successful candidate will be responsible for both real time and retrospective monitoring of trading activity and trading communications, using a risk based approach to ensure that not only are relevant regulations being followed, but that trading activity and communications are in line with internal control standards.
Responsibilities will include, but are not limited to:
* Support the delivery of a robust risk based testing programme
* Proactive monitoring of emails, Reuters, Bloomberg and telephone lines
* Data analysis to identify anomalies and discrepancies in trading activity
The post-holder should expect to contribute to the ongoing development of wholesale market monitoring programme as well as to a range of other compliance review topics.
The ideal candidate will have a strong knowledge of wholesale markets, either with compliance or audit experience or coming from a trading background. Due to the analytical nature of the position, the successful candidate will have strong Excel skills and high level of attention to detail.
Core responsibilities:
- responsible for both real time and retrospective monitoring of trading activity and trading communications,
- Support the delivery of a robust risk based testing programme
- Proactive monitoring of emails, Reuters, Bloomberg and telephone lines
Data analysis to identify anomalies and discrepancies in trading activity
Work Experience (Essential):
Experience of working in wholesale markets within monitoring/reviews , control room of trading floor compliance Experience in other disciplines such as internal audit, operational risk, middle office trade supervision would be considered
Functional/Technical Competencies (Essential):
Good all round IT skills - able to write reports
