Compliance Trade Surveillance Director - Markets & FX £110,000 - £135,000 Bonus & Bens, London Do you have experience in Compliance Trade Surveillance , no progression or ready for a new challenge? Would you like to change roles and work for a well-regarded international bank, which gives you a platform to develop your skills and challenge yourself in a collaborative environment? Well your new job would be as a Compliance Trade Surveillance Director - Markets & FX based in Canary Wharf for a global bank. Role:
• Provide advice, training, oversight and challenge to the first line business control and surveillance function and where relevant partner functions;
• Review transaction alerts to detect and identify potential market abusive activities or behaviour;
• Review e-communication alerts to detect and identify potential market abusive activities or behaviour;
• Perform voice surveillance sampling;
• Review and evidence alert closures or escalations clearly and factually;
• Seek to embed a compliance culture and conduct model throughout the organisation;
• Ensure the proper reporting of surveillance issues internally and to regulators on a timely basis:
• Escalate findings in a controlled and organised fashion:
• Approach surveillance activities on a holistic basis, considering the flow of orders and quotes from other lines of business and reviewing activities per trader/sales person:
• Track and record issues and concerns as they arise and assist in the production of appropriate Management Information. In order to qualify for this excellent opportunity you will need to fulfil the following:
• Markets transaction and communications surveillance gained in first or second line control function in an FCA-authorised firm;
• Relevant transaction and communications trading and surveillance systems;
• Trade reconstruction;
• Regulatory conduct related issues and frameworks;
• EU MAR, MiFID 2 and FCA surveillance requirements;
• Financial crime surveillance as it pertains to wholesale markets activity;
• A Bachelor's degree or the equivalent combination of education and experience;
• Proven total work experience of compliance within the wholesale financial services industry;
• Relevant industry compliance qualifications;
• Preparation of Management Information and internal reports;
• Preparation of communications to regulators including, notifications, Suspicious Transaction and Order Reports, Suspicious Activity Reports, replies to regulators' requests for information;
• Providing subject matter expertise in relation to surveillance including, but not limited to, the preparation of policies and procedures to ensure that appropriate arrangements, systems and controls are in place. If the role is of interest and you fit the criteria please apply for the role attaching a CV and contact number. This job was originally posted as www.totaljobs.com/job/86564450