Trade Surveillance Compliance Officer
- On-going performance of the electronic trade surveillance monitoring programme
- Promptly Investigate and clearly communicate issues arising from the electronic trade surveillance monitoring activities, involving advisory compliance officers as required, follow issues through to full resolution with the business lines
- Participate in the overall review programme in conjunction with the risk review team, by providing support in relation to trade surveillance, as required
- Maintain and monitor a database of remedial actions/recommendations arising from trade surveillance, to ensure timely and satisfactory resolution of issues identified
- Preparation of written reports for submission to the Risk Assessment Review Unit Senior Compliance Officer and relevant Desk Head(s), as required
- Liaison with advisory compliance officers and/or the Control Room on trade surveillance monitoring related issues
- Provide support on the implementation of the Pan-European trade surveillance monitoring system (Convergence)
- Designing and developing new trade surveillance controls to ensure broad product coverage and extension of coverage of potentially abusive market behaviour
- Assisting in regulatory and internal investigations as assigned by the Risk Assessment Review Unit Senior Compliance Officer or the Head of the Financial Crime Unit
- Proactive and timely escalation of issues to the Risk Assessment Review Unit Senior Compliance Officer, ensuring regular and frequent communication on such issues
- Active participation in investigations into incidents arising within the business lines as required
- Maintaining a detailed working knowledge of the relevant UK rules and regulations, and a broad awareness of AMF, ACP and other regulatory and exchange rules and regulations as required
- Involvement in delivery of items in the annual Compliance Plan, which are relevant to the coverage of the team, in a timely manner
- Performance of team permanent supervision controls
- Maintaining awareness of key EU / UK regulatory updates and analysing their impact upon the electronic trade surveillance monitoring programme
- Attendance at relevant industry and trade association seminars
- Participation in departmental and central compliance team meetings, as required
- Any other tasks/projects as assigned
For more Details, please visit our Website – www.hamlynwilliams.com and for further information send any queries to s.hewett@hamlynwilliams.com or contact me directly on 0203 675 2930
Hamlyn Williams is an Executive Recruitment consultancy that specialises in placing Risk, Compliance, Regulatory Information Security professionals globally:- offering Retained, Contingency and Interim/Contract recruitment solutions for the Financial Professional Services
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