Compliance Trade Surveillance
A leading investment banking group is actively looking for a Compliance Surveillance specialist to join their team. Sitting within the Markets division of the bank, you would have oversight of the Equities and FICC (Fixed Income, Currency and Commodities) Sales and Trading businesses.
The principal function of the role is to manage compliance and regulatory risk through the development and oversight of controls. The team helps identify and prioritise the compliance and regulatory risks across the Markets division and puts in place the appropriate measures to minimise potential risks from occurring. The controls include preventative front-end trading system controls and processes, surveillance reports and processes, forensic analysis and management information systems. The team also works in conjunction with global compliance to harmonise processes, procedures and controls internationally.
The role:
- Conduct ad-hoc reviews based on trends and emerging risks.
- Monitor that surveillance reviews are being performed properly from a qualitative and timeliness perspective.
- Oversight of exception reviews generated by detective controls.
- Partner with Business Personnel, Compliance Officers, and Compliance Technology to develop and/or enhance system controls, surveillance and associated procedures and training.
- Apply a consistent approach across businesses, products and regions.
- Develop associated functional specifications and testing scripts.
Qualifications:
- Degree educated
- Inquisitive and proactive in identifying risks and proposing solutions.
- Good interpersonal skills and excellent written/oral communication skills.
- Ability to work with a variety of senior and junior people, and build smooth working relationships.
- Highest attention to detail.
- Good team player - one who is able to prioritise in a fast moving, constantly changing environment.
- Entrepreneurial inclination - ability to work alone and act as project manager.
- Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment.
- Ability to handle multiple tasks simultaneously and work under tight deadlines.
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