Head of Monitoring & Surveillance

  • Highly Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • LMA
  • 15 Oct 17 2017-10-15

A newly created role at a leading City firm

This newly created role will report to the Head of Compliance 

The position will be stand-alone initally but is likely to incorporate staff management as the function develops 

 

Key Responsibilities 

  • Risk assess business undertaken and operational practices for inclusion in compliance monitoring programme
  • Plan, schedule and complete risk-based desk reviews appropriate to the business, as well as regulatory and industry thinking
  • Develop and maintain monitoring procedures, including monitoring methodologies and rationale
  • Take a lead role in delivering a variety of change initiatives across surveillance
  • Perform daily surveillance of trading to ensure compliance with relevant regulation
  • Investigate potential instances of market abuse and rule breaches and have a framework in place to resolve/escalate matters of concern
  • Collate periodic reports for head of compliance, senior management, and committees which are clear and proportionate in their presentation of progress of the compliance monitoring programme and findings
  • Maintain good relationships with Compliance Advisory, Internal Audit, and Operational Risk to ensure their inputs are obtained in the monitoring process.

 

Candidates will be able to demonstrate current experience in these areas.