Compliance Surveillance Associate

Responsibilities (brief):

• Act as a conduit between London and Birmingham based teams whilst understanding high-complex processes, including making judgment calls which require strong interpretation skills
• Perform the review and investigation of surveillance alerts and escalations in a timely manner, taking any necessary action for Trading, Communications and Information Barriers Surveillance, ensuring consistent delivery & service levels are maintained
• Review on alerts; Trading, emails and other communications (i.e., voice) for potential breaches of laws, regulations and internal policies
• Develop methodologies to identify, monitor and test areas of compliance risk whilst building and fostering close relationships with stakeholders
• Work with Compliance Information Technology in the preparation and User Acceptance Testing of new models, amendments to existing to ensure effectiveness and coverage of alerts

Skills desired:

• Specific surveillance, trading or middle office experience covering a variety of financial products is beneficial
• Compliance/regulatory experience would be beneficial
• An ability to manage to deadlines and ensuring adherence to regulatory/audit requirements
• Excellent presentation skills, both oral and written
• The ability to explain complex concepts in simple and easy to understand way

If interested, please apply below. Alternatively, email 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.