Senior Trade Surveillance Officer

  • Location:

    City of London, London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £70000 - £100000 per annum

  • Contact:

    Matthew Pollard

  • Job ref:

    MP291018_1540827686

  • Published:

    about 1 month ago

  • Expiry date:

    2018-11-28

  • Startdate:

    ASAP

A Major Investment banking group is looking for an experienced trade surveillance specialist to join their team with initial focus on Fixed income trading however you would be expected to cover all products. This role sits within a highly innovative trade surveillance team and this is your chance to become a leader within that environment.

Summary of the key purposes of the role

  • To actively and promptly undertake Compliance Trade Communication monitoring of key risk areas, reporting any concerns in line with set protocols and procedure.
  • Perform investigations as directed by management.
  • Development of surveillance coverage and strategic solutions.
  • Undertake on an ad-hoc basis, directed projects and at times administrative topics.

Summary of responsibilities

  • Undertake Trade Communication Surveillance using the firm's oral and written communication monitoring tools as directed by management.
  • Support the collation and development of Management Information.
  • Support the implementation and enhancement of surveillance approaches and /or strategic solutions to meet review requirements.
  • Maintain and monitor a referential of remedial actions/recommendations arising from trade communication monitoring and ensure timely and satisfactory resolution of issues identified.
  • Liaison with Advisory Compliance officers and other key stakeholders and synergies regarding key topics
  • Assisting in regulatory and internal investigations as appropriate.
  • Proactive and timely escalation of issues to management
  • Maintaining awareness of key EU / FCA regulatory rules and updates. And where applicable transposing them into the the trade communication surveillance program.
  • Participation in departmental and team meetings as required

Profile

Competencies

Strong Trade surveillance experience or Strong Fixed income credit or rates trading experiance
A keenness to work in a regulatory risk management department.
A generalist understanding of how private and public sides of the Financial Industry operate would be advantageous
Highly analytical approach in regard to performed surveillance, supported by accurate record keeping and ability to manage and prioritise multiple review requirements.
Someone with an innovative mindset - who can think 'outside of the box' but collectively, understands standard BAU.