Compliance Officer – Monitoring & Reviews recruitment

Compliance Officer required for the Risk and Assurance division of this leading investment bank.

You will assist in establishing and maintaining a risk-based electronic trade surveillance monitoring programme, covering monitoring of relevant regulatory and exchange requirements.

Key Responsibilities:

On-going performance of the electronic trade surveillance programme

Assisting in regulatory and internal investigations as assigned by the Compliance Management Team or Head of Financial Crime

Active participation in investigations into incidents arising within the business lines ensuring proper and timely escalation to the Head of Compliance Assurance and the relevant member of Compliance Management for resolution

Ensure that relevant procedures, systems and controls are up to date and effective

Provide support on the implementation of the Compliance Risk Assessment tool

Preparing management information and reporting regarding surveillance and monitoring activities

Provide day-to-day assistance and support to the Head of Compliance Assurance

Main Functions Covered:

Ongoing performance of the Compliance department's surveillance and monitoring programme (coverage across primarily Commodities and Equities), including the management and resolution of alerts

Risk analysis and weighting of controls concerning Market Conduct and Conduct of Business.

Enhance existing processes and develop new processes for identifying instances of Market Abuse and breaches to Conduct of Business and Exchange rules.

Active participation in investigations into incidents arising from regular surveillance of electronic communications as well as responding to requests from the business lines.

Proactive and timely escalation of issues with adequate supporting information to the Head of Compliance Assurance and Compliance Management to determine what action should be taken.

Preparation of written reports for submission to the Head/Deputy Head of Compliance Assurance and Compliance Management following the completion of a review or investigation.

Preparing management information and reporting regarding surveillance and monitoring activities.

Assist the Head of Compliance Assurance in the investigation and administration of suspicious activity reports, where necessary liaising with the MLRO.

Update and drafting of policies and procedures as required.

Key Skills Required

You will have good experience and knowledge of:

Commodities

Regulatory Developments

Trade Surveillance

Banking Industry