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About the job
A London based broker are looking for a Compliance Monitoring Trade & Communications Surveillance Officer to join their team on a 6 month contract basis paying £350450 a day
Responsibilities for the job:
Working as a member of a team of Compliance Monitoring Officers primarily undertaking monitoring and surveillance of trading activities.
Undertaking follow up level two forensic analysis of alerts generated by trade/order/communication surveillance systems escalated to London by the Level One Surveillance team.
Executing controls as per Compliance Controls Framework.
Undertake investigations as directed by Compliance Monitoring Manager.
Coordinate requests for information from regulatory authorities and exchanges.
Contribute to the ongoing upkeep of Compliance monitoring procedures and documentation.
To effectively execute monthly tasks such as Block Trade Reviews, Call Monitoring and regular Information submissions to Regulators.
Supporting the ongoing development of Compliance systems.
Keep abreast of changes in the industry and regulatory landscape and manage the dissemination of these to staff accordingly;
Ensure effective communication flows between the EMEA based control functions, such as Risk, Internal Audit, Level One Surveillance team.
Assist with quality assurance controls on monitoring & surveillance activities performed by the Level One Surveillance team.
To fulfil any additional / ad hoc duties as required to meet the needs of the business.
Skills, Knowledge and Experience:
You will have worked across compliance monitoring, trade & comms surveillance and will have experience of monitoring communications within Front Office FX Markets, Rates Markets, Fixed Income. You will have worked closely with the front office traders and will be able to advise the business. You will have strong stakeholder management skills and will be comfortable working in a fast paced environment.