Description
Compliance Surveillance Analyst - Contract -London
My client, a global investment bank, is seeking a Compliance Surveillance Analyst to join their team in London on a contract basis. The successful candidate will be responsible for reviewing, analysing and investigating the alerts that have been generated by trade and communications monitoring systems.
Responsibilities:
- Carrying out the initial review of communication monitoring alerts that have been generated by bank employee communications on either Bloomberg, Outlook and other communication channels
- Carrying out the initial review of multi asset class trade surveillance alerts that have been generated on the back of trading activity
- Ensure that alerts are actioned in a timely manner and where necessary carrying out further analysis and ensuring appropriate escalation to relevant management
- Conducting investigations on the back of the alerts, including further electronic and voice communications retrievals, liaison with Advisory Compliance, HR and Legal
- Ensure that all case management systems are updated in a timely manner
- To work with other members of the Surveillance team on the continual improvement, refinement and calibration of the key word filters and other parameters that are Embedded within the alert generation logic
Skills/Requirements
- Previous Compliance surveillance experience within an Investment Bank
- Good analytical abilities
- Good communication skills
- A good knowledge of the regulatory environment, in particular the Market Abuse directive
Amreet Rai
Compliance Consultant
McGregor Boyall is an equal opportunity employer and do not discriminate based on race, religion, gender, age, sexuality, gender identification, or physical ability.