Surveillance & Advisory

We are working on behalf our client, a leading global Investment Bank, who are looking for an individual to join their Securities Compliance Division as a Surveillance Advisory Analyst

The role is based on the trading floor covering a range of products including interest rates FX derivatives, money markets, funding products, fixed income securities and currencies. The candidate will be required to work closely with sales, structurers, traders and occasionally also other departments, such as Legal, Controllers, Credit and Internal Audit.

The daily surveillance tasks will require the candidate to focus on the divisions transactions to determine whether they have followed firm policies, in particular with respect to suitability, and regulatory and legal requirements. The role is interactive with mainly sales personnel to gain an understanding of the structure and nature of the transactions to determine suitability requirements. A separate surveillance compliance team exists but this role is outside of that team and integrated into advisory compliance team.

Training, oversight and a procedure to follow regarding the suitability surveillance report will be provided.

In addition the role will require occasionally dealing with non surveillance related tasks such as compiling overviews of transactions, working with operations to compile trade data, creating compliance training materials, putting together deal files for structured or strategic transactions and similar tasks.

If you have the relevant Surveillance experience and the role is of interest please apply now

www.badenochandclark.com - Let's find the career that connects with your life.Badenoch Clark is acting as an Employment Business in relation to this vacancy. Badenoch Clark is an Equal Opportunity Employer and a registered Disability Symbol User.

May 8, 2013 • Tags: , • Posted in: Financial

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