Market Surveillance Officer (FTC - 12 Months)
- London, England, United Kingdom London England GB
- Permanent, Full time
- Investec Bank plc
- 27 Jul 18 2018-07-27
Description of Role and Key Responsibilities
- Undertake effective and appropriate surveillance activities to identify and manage relevant regulatory risks, with a focus on Market Abuse and Conduct.
- Ensure an effective risk based transaction and communication surveillance programme is maintained to assess and report on the basis of agreed parameters.
- Promptly investigate and clearly communicate in the designated format issues arising from electronic trade and communication surveillance, involving Compliance Advisers as required, and following issues through to full resolution.
- Undertake manual and ad-hoc surveillance as required.
- Investigate suspicions and report internally and externally when required.
- Liaison with Compliance Advisers, the Control Room and business units when required.
- Provide appropriate management information.
- Maintaining awareness of key EU / UK regulatory updates and analysing their impact upon IBP’s surveillance programme.
Core Skills and Attributes
Technical knowledge & Experience
- A minimum of 3 years Compliance experience within Financial Services/Banking industry. Surveillance and/or Monitoring experience is preferred.
- Understanding of Investment Banking and Capital Markets required.
- Regulatory knowledge as applicable to the role; MAR, Conduct rules, etc. Good general knowledge of the FCA handbook an advantage.
- Any previous experience of trading in regulated instruments an advantage.
Personal Attributes & Skills
- Strong integrity and discretion when required.
- Natural investigative and analytical skills with ability to think independently to reach reasoned conclusions based on evidence.
- Strong report writing skills.
- Strong numeracy.
- Technical aptitude with ability to understand and develop processes.
- Excellent time management.
- Multi-tasking and ability to manage a number of requests or priorities simultaneously.
- Natural team player, comfortable working closely in a team environment.
- Strong interpersonal skills used when communicating with the business and other members of the Compliance team.