French speaking Compliance Monitoring Analyst
My client, a specialist broking service, is seeking a Compliance Monitoring Analyst to join the team.
This role is designed to advise the Head of Compliance in regards to the monitoring of trading activity for the Firm and through the escalation of potential issues identified so that Senior Management and the Board can be appropriately advised to ensure the Firms' ability to operate in an organised, controlled, ethical and profitable manner, in accordance with the requirements within the ever changing regulatory and financial industry environment.
* Responsible principally for implementing second line of defence of trade surveillance and monitoring which includes:
* best execution (including timely execution)
* payment for order flow
* market abuse prevention
* Communication monitoring - phone, email and chats.
* Investigate, communicate and escalate issues arising from trade surveillance and communication monitoring.
* Maintain a database of remedial actions/recommendations arising from trade surveillance and communication monitoring.
* Contributing to the preparation of management information on monthly, annually and ad hoc basis.
* Assisting with the development and improvement of analytical tools used to monitor for, and investigate, potential market abuse.
* Conduct file reviews and thematic compliance projects.
Experience and Qualifications:
* Have experience gained within a trade monitoring & communication surveillance role, with a good awareness of Market Abuse Regulations, FCA rules and general compliance oversight functions.
* Must have very strong excel skills (pivot tables, macros, VLOOKUPs).
* Excellent attention to detail.
Charles Levick Limited are a leading global financial recruiter providing innovative solutions across Capital Markets, Financial and Professional Services organisations. Founded in 2008, Charles Levick is privately owned and operates from offices based within the City of London and New York.
A truly independent company with a global reach, we pride ourselves on delivering honest and intelligent guidance developing long term sustainable relationships. Our breadth of expertise and services allow us to deliver solutions across our sectors ranging from junior analyst through to C-Suite requisitions, all delivered with exceptional levels of attention to detail and service that have helped us to grow into the organisation we are today.
We have managed to build an enviable reputation partnering a diverse range of large and small organisations initially within London, but now globally, actively supporting clients across Europe, Asia and the US. With decades of experience, we have been able to develop a substantial knowledge of our markets as well as building loyal relationships with our clients and candidates.
Our business is devised of 5 core areas of specialisation: