Surveillance Officer
Our client is looking for a self-motivated innovative individual to join their Compliance and Risk team as a compliance surveillance officer. Reporting into the compliance manager you will be required to lead in front office monitoring activities of the team, managing relationships and communications with a range of stakeholders inclusive of but not limited to: exchanges, regulatory bodies, clients and staff.
Role Description:
- Lead the firm's trade surveillance and related front office monitoring activities as part of the firm's compliance monitoring procedures.
- Liaise with regulatory bodies and exchanges in relation to trading enquiries.
- Provide advice and assistance to front office staff in resolving compliance and regulatory issues arising from sales and trading activities.
- Liaise and communicate with all internal stakeholders to ensure a consistent and effective risk based approach, compliant with professional standards, is deployed across the trading floor.
- Resolve trading issues to the satisfaction of both the Company and clients in compliance with regulatory obligations.
- Manage ad-hoc Regulatory Projects, as required.
- Providing compliance support to the Trading Floor.
Personal Qualifications:
- Excellent understanding of market and exchange rules.
- Strong surveillance and electronic monitoring experience.
- Minimum of 5 years practical experience in an analytical/monitoring or compliance role within the Financial Services environment.
- Ability to liaise and influence all levels of management, and confidently participate in cross-departmental working.
- Effective and proficient communication and interpersonal skills, including strong written skills.
- A financial degree or equivalent and a relevant CISI Qualification or equivalent are desired but not essential.
If you are interested in finding out more about this role please contact Richard Aldridge for a discussion or email your CV on richard.aldridge@blackswangroup.com
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