Description
SURVEILLANCE COMPLIANCE OFFICER
BANKING COMPLIANCE AND SURVEILLANCE JOB IN LONDON
CONTRACT
My client, an Investment bank is looking for a Surveillance Compliance Officer to conduct daily surveillance of all trading activity to identify suspicious or unusual transactions or trading patterns, which may suggest a breach of information barrier procedures, policies or regulatory requirements. Key responsibilities of the role will involve investigating transactions, documenting, reporting and recommending appropriate coursed of action to management.
As the Surveillance Compliance Officer in London you will also develop and maintain compliance manuals, policies, guidelines and procedures to reflect the current regulatory requirements as well as tracking and following up actions identified as a result of surveillance alerts and escalate when necessary.
Essential Experience/Skills required for this Surveillance Compliance Officer:
- Good working experience and understanding of Equity, Fixed Income, Capital Markets and Corporate Banking businesses.
- Solid understanding of regulatory risks (FCA requirements)
- Demonstrable competencies and experience in a Compliance department, working in an investment bank or other comparable or relevant environment for at least 3-4 years.
- Good communication skills, able to interact and work closely with the business, and colleagues cross-border and at various seniority levels
- Reliable and dependable
- Conscientious and pays excellent attention to detail
- Self-starter
- Excellent IT skills
To apply for this Surveillance Compliance Officer Job within investment banking in London, please forward your CV to Chris Pearson at Nicoll Curtin.