Surveillance Compliance
Our client is a global investment bank, who are seeking a compliance professional to take on a position in the firm’s markets surveillance function.
Your responsibilities will include:
- Assist in performing daily surveillance of trading to ensure compliance with relevant regulations
- Investigating potential instance of market abuse and rule breaches and product detailed reports highlighting the abusive behavior
- Play an important part in delivery of a variety of initiatives across surveillance i.e. System testing and implementation
- Help improve current systems and processes.
- Be the point of contact for policies and procedures that impact the surveillance space
- Produce and analyse reports
As a successful applicant you will have:
- Demonstrated experience in the surveillance function of a financial services firm, preferably with experience of the equities markets
- A working knowledge of the relevant FCA rules and regulations.
- Experience in surveillance project delivery.
- Strong attention to detail.
- Have excellent communication skills both verbal and written.
For more information or to apply, please contact the compliance team on 020 33015821 or ben.hudson@blackswangroup.com