Compliance Monitoring Officer

  • £45,000 - £65,000
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • B&FS Audit
  • 10 Aug 18 2018-08-10

An Investment Management firm are looking to hire a Compliance Monitoring Officer to join their Monitoring & Surveillance function

An Investment Management firm are looking to hire a Compliance Monitoring Officer to join their Monitoring & Surveillance function. The role is a Senior Analyst/Manager grade and we are keen to speak to people with surveillance/thematic monitoring experience, ideally within an investment management capacity. 

Key responsibilities:

  • Post trade monitoring using the surveillance system in order to detect cases of market abuse across all asset classes
  • Escalate transactions that are potentially suspicious and conduct investigations accordingly
  • Monitor both voice and electronic communications to ensure alignment with regulatory obligations
  • Carry out both thematic and desk based reviews in accordance with the compliance monitoring programme
  • Assist with audit visits and requests for information from the regulator

Successful candidates will have:

  • Good knowledge of Market Abuse rules and understanding of electronic trading
  • Experience undertaking thematic and desk based reviews (desirable)
  • Previous experience using the SMARTS system
  • Excellent communication skills both written and verbal