Compliance Monitoring Executive – Director

£75k - £100k per annum


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About the role:


The incumbent shall work to implement and perform monitoring of first level trade and order alerts across all of the bank’s business lines. At the same time s/he will give input for the improvement of the monitoring tools to reduce noise or false positives and additionally s/he will contribute to the design of new monitoring strategies.

  • Execute monitoring and surveillance controls that extend to the bank for conduct and market abuse risks. This includes, but it not limited to:
  • Monitoring of Trades, Orders, RFQs, book and Market Data. (Daily)
  • Market Soundings and Investor Feedback.
  • Systems access and communications.
  • Conflicts of interest.
  • LIBOR submission and related communications monitoring.
  • Assist, improve and help implement new monitoring controls other than those set out above.
  • Follow up on any alerts identified as requiring calibration, threshold or logic changes or general improvements.
  • Compile breach / incident and audit trail reports arising from monitoring activity and report the outcome to the Head of Compliance Monitoring and Surveillance.
  • Create and document detailed user guides and desk top procedures ensuring all policies remain up to date.
  • Contribute to the maintenance of the annual Compliance Monitoring and Surveillance book of work.
  • Highlight issues to senior management regarding data input, data output and market data.
  • Identify and escalate potential instances of Market Abuse, Operational risk and other market integrity issues as discovered from the alert creation process.
  • Ensure the efficient escalation of any potential breaches and tracking them as appropriate.
  • Ensure that the monitoring findings are accurately recorded and retrievable to provide full reporting to senior management.
  • Proactively identify gaps and weaknesses in surveillance/ monitoring activity and actively seeking to address them.
  • Ensure confidentiality at all times due to privileged information access.
  • Maintain awareness of key regulatory updates and analysing their impact on alert development.
  • Participate actively to the changes in the organisation triggered by the revamping of the monitoring platform and tools.

Periodic Reportin

  • Provide periodic and ad-hoc reports and updates to the heads of Business Compliance and Business Compliance Monitoring & Surveillance.
  • Create and distribute high quality reporting in accordance with the monitoring framework and deliver these reports to management as required.
  • Update and provide management information as requested for local, group, head office and regulatory requests.
  • Contribute toward the production and maintenance of the Annual Compliance Monitoring Plan (‘the Monitoring Plan’), which has an obligation to meet all relevant regulatory, compliance and internal audit requirements.
  • Assist with internal and external compliance reporting.

Validation Findings

  • Liaise with the head of Global Business Compliance Monitoring & Surveillance in relation to monitoring and surveillance output.
  • Track and follow up issues identified as a result of monitoring activity and escalate where necessary.


  • Assist the Head and Deputy of Compliance Monitoring & Surveillance and the Head of Business Compliance with ad-hoc tasks, projects, investigations and regulatory thematic reviews as requested.
  • Stay abreast of regulatory changes and industrial developments that may impact the bank.

Legal and Regulatory Responsibilities

  • Comply with all applicable legal, regulatory and internal Compliance requirements, including, but not limited to, the London Compliance manual and the Financial Crime Policy.
  • Complete all mandatory training in a timely fashion.
  • Contribute in the production and maintenance of the Annual Compliance Monitoring Plan (‘the Monitoring Plan’) which will meet all relevant regulatory, compliance and internal requirements.
  • Assist with internal and external compliance reporting.

Validation Findings

  • Liaise with the head of GBC M&S in relation to monitoring and surveillance results
  • Track and follow up issued identified as a result of monitoring activity and escalate when necessary.
  • Share finding into transaction surveillance solutions


  • Trade Surveillance Monitoring experience
  • Prior experience in eCommunications surveillance, trade surveillance, market abuse, market conduct or compliance within an investment bank
  • Understanding of basic Capital market products such as FICC products, repo, Origination, Syndication, Credit and Treasury.
  • Understanding of Market Abuse Regulation and the associated Alert Scenarios, but not limited to: Layering/Spoofing, Front Running, Wash Trades, Ramping, Cross Product/Venue Manipulation, Manipulation of Benchmarks.
  • 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 constructively challenge Front Office.

If interested, please apply below. Alternatively, my email address:

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.

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