Futures Surveillance Compliance Officer

Our client is a global bank. They are looking for a VP and an AVP to run and develop their futures and derivatives surveillance platform

Duties:

* Covering the developing futures business in Europe;
* Assist the EMEA and Global Head Surveillance in forming the strategy of the compliance monitoring program and its implementation;
* Operate a monitoring program which covers the key conduct of business, systems and controls, market abuse and exchange specific rules applicable to the growing business;
* Ensuring that day-to-day monitoring is completed to the requisite standard, issues are followed up and appropriate action taken, and issues are escalated appropriately.
* Take responsibility for the delivery of appropriate MI and the upkeep of documented procedures and case management.
* Co-ordinate globally, ensuring consistency of approach and the regular sharing of information.
* Continue to liaise with the wider equity compliance advisory team, building on the close partnership already in place and looking for opportunities to add value and provide extra coverage, for example in conducting reviews and responding to regulatory requests for information.

Personal Requirements:

* Solid proven Compliance surveillance experience, preferably in an investment bank or Interdealer broker;
* Futures and/or derivatives background with strong compliance monitoring/surveillance experience;
* Experience of enhancing and developing monitoring programs;
* Strong experience in reporting and providing clear and concise management information regarding output/findings of monitoring;
* Good communication skills, ability to interact and work closely with senior business heads;
* Reliable, dependable, accountable;
* Strong product knowledge of cash equity business;
* Strong understanding of the rules of main European Stock Exchanges;
* Ability to quickly understand and interchange with a variety of other product areas;

If you are interested in finding out more about this role. Please contact Richard Aldridge on 02033015822 by phone or richard.aldridge@blackswangroup.com

March 13, 2013 • Posted in: General

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