The Compliance Monitoring team is part of the firm's Compliance function. The role site sits within in a team which is responsible for performing compliance monitoring of the activities of the UK and European based investment teams, including trading desks, fund managers, research analysts, corporate finance and their respective support groups.
Provide support to the Compliance trade surveillance monitoring programme designed to ensure that the firm meets FCA COBS, MiFID II and MAR requirements (e.g. best execution, fair allocation, timely execution, market abuse).
- To support the compliance trade surveillance monitoring programme across all asset classes: equities, fixed income, FX and multi-asset;
- Review and investigate trading exceptions generated on a daily basis from the firm's automated compliance monitoring tools. Areas to review include best execution, fair allocation, timely execution, conflicts and market abuse;
- Reviews of Bloomberg, e-mail and telephone communications made by investment professionals;
- Perform thematic monitoring reviews, under supervision of the Associate Director, Compliance Monitoring;
- Performance of best execution and market abuse monitoring for the firm's Retail Brokerage platform;
- Maintain a database to record monitoring issues;
- Assist with ad-hoc compliance monitoring tasks, as required;
- Assist with collating management information and reports, as required.
Experience and Qualifications
- Previous experience gained in a compliance, audit or trading support function;
- Must be computer literate and comfortable analysing and manipulating large sets of systems data;
- Good knowledge of equity and fixed income markets and trading environments;
- Experience of performing thematic monitoring reviews would be beneficial;
- A genuine interest in the investment process and trading;
- Investigative and questioning nature, analytical and a self-starter;
- High attention to detail;
- Good planning, prioritisation, problem solving and organisational skills;
- Confident personality and comfortable dealing with traders.