Ref: 9 17 ASI Title: Compliance Surveillance Officer - Investment Banking

Location:
London

Salary:
Attractive Date: 10th May 2018 Our client, a global financial institution is looking for a Compliance Surveillance Officer to join their compliance team and help in ensuring that the business meets its regulatory obligations. The individual would also help in identifying and mitigating risks across the business and help promote a proactive regulatory culture. Duties Include: Assist with reviews and investigation of the alerts and exceptions that have been generated by the global surveillance systems and reports. Assist with overseeing potential market abuse and other breaches within Investment Banking & Markets trading. Provide support to team members working on regulatory disclosures. Helping with assessing alerts on surveillance systems and investigating incidents arising from the business. Help to review existing monitoring controls and assisting with the enhancements to these processes and systems, to mitigate against market abuse and breaches of conduct of business rules. Asist with ensuring that alerts are closed in a timely manner and where necessary carrying out further analysis. Assist with continuous refinement of surveillance risk and controls assessment. Assist market conduct team members with the delivery of regulatory position/trading disclosures. Develop effective relationships and networks within the global compliance function. The preferred candidate will ideally have either an investment banking, wholesale banking or markets background. FX, Rates and Fixed Income product knowledge and experience is essential. You should also possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively. If you are interested in this opportunity, please email your C.V. to contactaltussearch.co.uk or call on 44 20 7430 1831 for a confidential discussion. Altus Search Ltd is acting as an employment agency in relation to this role.