Compliance

Compliance Monitoring Executive – Associate Director

£50k - £70k per annum

London

Expiry date:
2023-02-12
Start date:
ASAP
Job type:
Permanent
Job ID:
CME1

About the role:

Responsibilities:

The incumbent shall work to implement and undertake monitoring of communications across all the bank’s business lines. He/she will give input for the design of new communication monitoring strategies.

  • Undertake communication monitoring using Voice and E-Communication monitoring tools to a high standard.
  • Carry out general surveillance tasks such as the review and analysis of alerts including any referrals and escalations.
  • Review all generated daily alerts in a timely fashion and within the service level standard.
  • Continuously help to calibrate and manage the lexicons across all E-Communication vendor systems.
  • Identify and escalate potential instances of Market Abuse, Financial crime, Operational risk and other market integrity issues to relevant Compliance teams and management.
  • Ensure prompt escalation of any potential breaches with full audit trail recorded in the appropriate system.
  • Maintain and update the GMD staff list and the Lexicon database in the designated shared drive.
  • Assist in any regulatory and internal investigations as appropriate.
  • Be innovative and create ways to improve usage of the existing vendor tools. Also to help track repeat offenders and identify patterns of activity.
  • Ensure confidentiality at all times due to privileged information access.
  • Maintain awareness of key EU / FCA regulatory updates and analysing their impact upon the communication monitoring programme.
  • Conduct proactive and reactive investigations, working with highly sensitive information and staff investigations relating to policy breaches and insider threats.

Skills:

· Understanding of basic Capital market products such as Origination, Syndication, Credit and Rates, Structured Products, FX and Treasury.

· Solid controls development experience – streamlining processes and controls.

· Ability to review and analyse data then present results statistically in MI format.

· Proven experience of delivering high quality compliance MI reports for senior management.

· Proven experience of executing compliance reports and investigations or similar regulatory reports.

· Ability to track and document investigation until resolution.

· Proven experience of written communications with senior managers

· Ability to defend and persuade a position.

If interested, please apply below. Alternatively, my email address: chris.norton@goodmanmasson.com

In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you.

Expiry date:
2023-02-12
Start date:
ASAP
Job Type:
Permanent
Job ID:
CME1

Sounds good?

Does this role sound like the right for for you? Apply using the form and one of the Goodman Masson team members will get back to you as soon as possible. Good luck!

Apply for the role


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