Surveillance SME
25th April 2022
Surveillance SME - £80,000 – 100,000 Interim Role - 12 Month Contract
London
Our client, a leading global Investment Bank, is looking for a Trade Surveillance professional for an initial period of 12 months with the view to extend.
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Hiring Consultant
Lascelles Reid-Barlow
Researcher +44 (0) 20 7610 6442 lreid@thedanosgroup.com View ProfileResponsibilities
You will be responsible for Compliance Surveillance Monitoring across multiple products including FX, Credit and Derivatives. This role will allow you will gain invaluable high-level responsibility and experience in an expanding and fast-moving team.
- Act as a Subject Matter and Technical Expert in the performance of trade surveillance monitoring across a range of products including FX, Derivatives and Equites.
- Carry out surveillance and monitoring work identifying and escalating financial crime, market abuse or manipulation breaches by clients or staff.
- Perform deep dive transactional reviews and be able to identify potential market abuse, insider trading and market conduct breaches.
- Work closely with and supporting senior management in the identification and mitigation of key risks.
- Suggest and collaborate with senior management on new processes for identifying and monitoring Compliance and Conduct Risk.
Requirements
- 4 years + experience in compliance surveillance.
- Experience in compliance surveillance within an investment bank.
- Sound knowledge of Credit, Equities and Derivative products.
- Good knowledge of regulations including MAR, MiFID II, Volker and Dodd Frank and FCA handbook.
Please contact Lascelles Reid-Barlow if you are keen to learn more about the role.
