Market Surveillance Officer (FTC - 12 Months)

  • Competitive
  • 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

Market Surveillance

  • 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.