My client, a leading global Corporate and Investment Bank, are recruiting for a number of Front Line Markets Surveillance & Supervision officers to join their team in London.
- Design and implement target operating model for frontline surveillance, including incorporation of compliance transitioned supervisory controls,
governance & escalation model and required workflow & tooling.
- Monitor, review and report on performance vs conduct and supervision KRIs, including market abuse.
- Review surveillance alerts and reporting + escalate the risk.
- Ensure effective oversight of Issue Management within defined conduct
& supervisory governance.
- Co ordinate daily, weekly and monthly attestation processes across sales and trading desks
- Regulatory reporting (including compliance transitioned regulatory reporting).
- Define and maintain governance escalation paths for frontline surveillance.
- Drive the CIB Supervisory Platform program to implement a workflow
tool and conduct & supervisory platform across the CIB sales & trading